Supervising Principal

The Supervising Principal serves as the Designated Supervisor for Financial Professionals in an assigned territory, overseeing their sales activities and ensuring compliance with regulatory standards. This role involves reviewing business correspondence, investigating questionable transactions, and providing expert guidance on compliance matters. The position also requires conducting supervisory visits, developing special supervision programs, and assisting with investor complaint investigations. The ideal candidate will have a strong background in the securities industry and a thorough understanding of relevant financial regulations.