Supervisory Principal (Finance)

TL;DR

Supervisory Principal (Finance): Oversee day-to-day supervisory activities across retail and institutional business lines with an accent on maintaining a strong control environment and regulatory compliance. Focus on conducting daily reviews of trades, alerts, and sales practices, ensuring FINRA/SEC adherence, and supporting audits and process improvements.

Location: Miami or New York

Salary: 140k-160k USD base salary

Company

hirify.global is a leading financial services firm with operations in the US focusing on retail and institutional business lines.

What you will do

• Conduct daily supervisory reviews including trades, blotters, alerts, and sales practice activity.
• Ensure compliance with FINRA, SEC, and internal policies and procedures.
• Review account activity to identify issues, trends, or exceptions.
• Perform best execution reviews assessing pricing, execution quality, and venues.
• Support internal, external, and regulatory audits including remediation efforts.
• Partner with Compliance, Legal, Operations, IT, and cross-border teams on supervisory and risk reporting.
• Assist with projects, ad-hoc initiatives, and technology enhancements in supervision.

Requirements

• Bachelor’s degree in Finance, Business, Economics, or related field
• 3+ years of experience in financial services industry
• Strong knowledge of U.S. securities regulation including FINRA and SEC rules
• FINRA licenses required: Series 7, 24, and 63 (obtain Series 7 and 63 within 6 months if not registered)
• Fluency in English required
• Solid understanding of broker-dealer operations (trading, clearing, settlement, onboarding)
• Proficiency with trading platforms, internal systems, and Microsoft Office

Nice to have

• Exposure to futures, options, and other derivatives
• Series 4 and/or Series 3
• Portuguese and Spanish