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Supervising Principal - Fully Remote
Location:
Elizabeth, NJ
Description:
A company is looking for a Supervising Principal - Fully Remote. Key Responsibilities: Coordinate trade and new account supervision for Registered Representatives/Investment Advisor Representatives Review broker/dealer trade activity and advisory accounts for suitability Conduct field office training and ensure compliance with firm/regulatory rules Required Qualifications: Bachelor's degree or 5+ years of industry experience Recent compliance experience, sales management, and/or risk management Series 7, 63, 24 licenses, and additional licenses required within 3 months of hire Internal applicants must have a minimum of 1 year of service with the company Internal applicants must have a minimum of 1 year service in the current role unless approved by EVP
Company:
Virtualvocations
Posted:
May 19 on TopUSAJobs
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More About this Listing: Supervising Principal - Fully Remote
Supervising Principal - Fully Remote is a Work at Home Supervising Principal - Fully Job at Virtualvocations located in Elizabeth NJ. Find other listings like Supervising Principal - Fully Remote by searching Oodle for Work at Home Supervising Principal - Fully Jobs.
Supervising Principal - Fully Remote is a Work at Home Supervising Principal - Fully Job at Virtualvocations located in Elizabeth NJ. Find other listings like Supervising Principal - Fully Remote by searching Oodle for Work at Home Supervising Principal - Fully Jobs.