Supervisory Principal

Company: VirtualVocations
Location: Jamaica
Posted on: September 21, 2023

Job Description:

A company is looking for a Supervisory Principal.
Key Responsibilities:

Provide first-line supervision to Office of Supervisory Jurisdiction (OSJ) Managers and Registered Representatives
Ensure adherence to Written Supervisory Procedures (WSPs) and relevant securities rules and regulations
Review and approve new accounts, investments, and investigate transaction red flags

Required Qualifications:

Bachelor's degree or equivalent combination of education and experience
Hold Series 7, Series 24, and Series 65/66 licenses
3 years of relevant supervision experience in the financial services industry
Strong product and market knowledge
Proficient in Microsoft Excel, Word, PowerPoint, and Outlook

Keywords: VirtualVocations, Hempstead , Supervisory Principal, Other , Jamaica, New York

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