Regional Supervisory Principal

Location: Hybrid, Arizona, California, Colorado, Florida, Indiana, Iowa, Kansas, Minnesota, Missouri, Nebraska, South Carolina, Texas, Virginia, Wisconsin

Work Type: Full Time Regular

Job No: 504605

Categories: Legal/Compliance

Application Closes: Open Until Filled

What we can offer you

Estimated Salary: $75,500- $100,000, plus annual bonus opportunity.

401(k) plan with a 2% company contribution and 6% company match.

Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.

Applicants for this position must not now, nor at any point in the future, require sponsorship for employment.

What you'll do

Oversee and supervise sales activity for Registered Representatives and Offices of Supervisory Jurisdiction within an assigned region.

Partner with advisors and agents to support sales execution, financial planning strategies, and practice management initiatives.

Review and approve new accounts, transactions, correspondence, and outside business activities to ensure suitability, compliance, and firm standards.

Monitor supervisory reports, investigate exceptions and audit findings, and take appropriate corrective action.

Serve as a trusted supervisory and compliance resource, providing guidance, training support, and coordinating office inspections as needed.

What you'll bring

5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.

Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding.

Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.

Proven ability to work independently, manage complex priorities, and make sound, rule‑based decisions under pressure while maintaining confidentiality and professionalism.

Excellent communication and leadership skills, with the ability to engage diverse stakeholders, support issue resolution, and travel up to 10% with flexibility across time zones.

You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.

Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.

Preferred

5-10 years of supervision/compliance experience within securities industry

Registration as a FINRA Registered Options Principal.

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