Remote Senior Supervisory Principal
Company: VirtualVocations
Location: Denton
Posted on: May 3, 2025
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Job Description:
A company is looking for a Senior Supervisory Principal
(Remote).
Key Responsibilities
Supervise the day-to-day activities of assigned Registered
Representatives and Investment Advisory Representatives
Conduct supervisory reviews of new accounts, trades, annuities, and
alternative investments
Engage in training and mentoring team members while resolving
escalated supervisory and compliance issues
Required Qualifications
Bachelor's degree and/or 5-7 years of industry experience,
preferably in Supervision or Compliance
Series 7, 24 or 9/10, and 66 or 63/65 licenses required
Knowledge of SEC, FINRA, and State rules and regulations
Proficiency in Windows applications such as Word, Excel, Teams, and
Outlook
Familiarity with industry tools such as FIS/Sungard/Protegent and
Salesforce
Keywords: VirtualVocations, Rowlett , Remote Senior Supervisory Principal, Other , Denton, Texas
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