Supervision Principal jobs in United States
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CornerStone Professional Placement ยท 4 days ago

Supervision Principal

positionUnited States
timeContract
remoteRemote
senioritySenior Level
money$50/hr - $60/hr
date5+ years exp

CornerStone Professional Placement has partnered with a local financial services company in their search for a Supervision Principal well-versed in a wide range of products, including mutual funds, fixed income, and securities. As the Supervision Principal, you will be responsible for reviewing advisor interactions, ensuring compliance with recommendations, and monitoring suitability of financial plans.

Staffing & Recruiting
Hiring Manager
Allison Harrison
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Responsibilities

Review advisor interactions, including trades, client recommendations, and correspondence
Monitor compliance with regulatory requirements and suitability assessments
Provide training and education to advisors on best practices and compliance
Manage daily supervision inbox and ensure timely follow-ups on pending items
Identify process improvement opportunities and escalate issues as needed

Qualification

FINRA Series 24 licenseFinancial services experienceCompliance monitoringTrainingEducationProcess improvement

Required

At least 5 years of experience in financial services
Bachelor's Degree in a related field
FINRA Series 24 license

Benefits

Excellent benefits

Company

CornerStone Professional Placement

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CornerStone Professional Placement is a trusted national search and staffing firm specializing in direct hire, executive search, and professional placement services across public and private sectors.
dateFounded in 1991
location
Dallas/Fort Worth, Texas, US
people-size51-200 employees
web-link
https://professionalcareers.cornerstonestaffing.com/

Funding

Current Stage
Growth Stage
Company data provided by crunchbase