Senior Supervisory Principal - Central Supervision Principal

Location: Fort Mill/Charlotte, United States

Salary: $74,057–$123,497 per year

Company

Financial services firm supporting financial advisors and wealth management institutions with investment solutions, fintech tools, affiliation models, and practice management services.

What you will do

• Review securities transactions for suitability, regulatory compliance, and adherence to firm policies.
• Review account-level suitability alerts, account documentation, and correspondence.
• Analyze transaction activity and identify potential sales-practice concerns.
• Supervise activity across advisory and RIA business models, including discretionary accounts and advisory fee credits or reversals.
• Provide supervisory oversight for MSRB securities and complex products such as annuities, alternative investments, and structured products.
• Collaborate with Regional Supervisory Principals and business partners to escalate and resolve compliance concerns.

Requirements

• Undergraduate degree in Business, Accounting, Finance, or a related discipline.
• 7+ years of industry experience in a compliance-related function.
• Series 7, 9, and 10, or Series 24.
• Series 4 and 53 required, or completion within 120 days of employment for candidates with Series 24.
• Series 66, or Series 63 and Series 65.
• Knowledge of mutual funds, annuities, general securities, financial products, and FINRA, SEC, and state regulations.

Culture & Benefits

• Fast-paced, high-volume environment focused on client service and collaboration.
• 401(k) matching, health benefits, employee stock options, paid time off, and volunteer time off.
• Opportunities to contribute to continuous improvement and develop compliance systems and strategies.