Supervisory Principal (Finance)

TL;DR

Supervisory Principal (Finance): Supervising sales activities of advisors and ensuring adherence to compliance regulations with an accent on FINRA, MSRB, and SEC standards. Focus on reviewing trades, new accounts, and complex product purchases to maintain regulatory integrity.

Location: Office based in Oklahoma City, OK, US

Company

hirify.global Corporation Group is a stable financial organization providing banking, brokerage, and wealth management services.

What you will do

• Review and supervise sales activities, including new business, trades, new accounts, and complex product purchases.
• Serve as a subject matter expert on compliance regulations and OSJ responsibilities.
• Educate advisors and administrative staff on supervisory procedures.
• Develop training and monitoring criteria for advisors until independent supervision is achieved.
• Participate in the day-to-day management of special projects and reviews.
• Implement new Compliance Alerts and provide ongoing support for BOSC, Inc.

Requirements

• Must be based in Oklahoma City, OK.
• Bachelor's degree and professional certification/licensing in securities.
• 5+ years of experience in supervision or 9-11 years of equivalent experience in a broker/dealer or OSJ location.
• Required Licenses: FINRA Series 7 and 24.
• Thorough understanding of securities products (annuities, alternative, and illiquid products).
• Working knowledge of FINRA, MSRB, and SEC regulations.

Nice to have

• Series 65, 66, or 53 licenses.

Culture & Benefits

• Strong organizational stability and financial strength.
• Excellent training and professional development programs for long-term career growth.
• Culture based on integrity, honor, and entrepreneurial spirit.
• Equal opportunity employer commitment.