Posted on: September 21, 2023
A company is looking for a Supervisory Principal.
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
Bachelor's degree or equivalent combination of education and
Hold Series 7, Series 24, and Series 65/66 licenses
3 years of relevant supervision experience in the financial
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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