Principal Review Supervisor (Finance)

TL;DR

Principal Review Supervisor (Finance): Overseeing client account activity to ensure compliance with regulatory and firm standards with an accent on risk management and advisor enablement. Focus on principal review of securities transactions, identifying sales practice concerns, and ensuring alignment with FINRA and SEC frameworks.

Location: Work@Home in Connecticut, USA

Salary: $56,670 – $86,590

Company

hirify.global is a financial services company dedicated to improving people's financial futures through inclusive access to opportunities.

What you will do

• Review and approve new account activity and daily transactions for assigned Representatives.
• Identify potential sales practice concerns and suitability issues, escalating findings to Compliance.
• Communicate directly with Representatives to resolve deficiencies and reinforce supervisory expectations.
• Execute principal approvals for annuities, mutual funds, advisory/brokerage transactions, and 529 plans.
• Provide ongoing guidance on regulatory requirements, licensing standards, and firm policies.
• Collaborate with Compliance and Operations to improve workflows and address emerging risks.

Requirements

• Bachelor’s degree in Finance, Business, or a related field.
• 2–4 years of experience in brokerage operations, supervision, or compliance.
• Active FINRA Series 7 and Series 24 licenses.
• Series 53 (or Series 52) license, or ability to obtain within 1 year.
• Strong working knowledge of FINRA, SEC, and state regulatory frameworks.
• Must be based in Connecticut (Work@Home).

Nice to have

• Experience with FIS SCM or similar surveillance/review platforms.
• Exposure to multi-product supervision across advisory and brokerage businesses.

Culture & Benefits

• Health, dental, vision, and life insurance plans.
• 401(k) Savings plan with company matching up to 6%.
• Employer-paid cash balance retirement plan (4%).
• Tuition reimbursement up to $5,250 per year.
• Generous PTO, including 20 days, 9 company holidays, and a Diversity Celebration Day.
• 40 hours of paid volunteer time per calendar year.