Senior Regional Supervision Principal
Penn Mutual(1 month ago)
About this role
The Senior Regional Supervising Principal is a newly established supervisory leadership role supporting a broker-dealer’s regulatory and escalation needs across a designated region. The position serves as a primary supervisory point of contact for a large population of financial professionals and helps strengthen oversight, reporting, and documentation as the organization evolves and prepares for upcoming system upgrades. The role includes significant regional engagement and travel to offices to support proactive risk management.
Required Skills
- Supervisory Oversight
- Risk Assessment
- Disciplinary Resolution
- Policy Training
- Regulatory Compliance
- FINRA Supervision
- Outside Business Review
- Private Securities Transactions
- Office Audits
- Communication Review
+9 more
Qualifications
- FINRA Series 7
- FINRA Series 24
- FINRA Series 53
- FINRA Series 66
- Life Insurance License
- Bachelor’s Degree
About Penn Mutual
pennmutual.comIt’s a beautiful thing, getting stronger — knowing you’ve protected the people you care about most.
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