Central Supervision Principal - Complex Product Lead
$86,530–$101,800 year
Hybrid · Los Angeles, California, United States or Brea, California, United States
Job Summary
Central Supervision Principal - Complex Product Lead responsible for pre-approval reviews on transactions/proposals within guidelines, ensuring compliance with FINRA, MSRB, OCC, and internal policies for the California Wealth Management region. Responsibilities include analysis, review and approval of all Investment Advisory accounts at account opening, providing trade analysis/review support, developing reports on daily trade volumes and team productivity, enforcing policies, participating in audits and training, and maintaining adherence to ethics, AML/BSA, and information security requirements. Requires a bachelor degree or equivalent, 5+ years of supervisory principal experience, and related FINRA licenses or ability to obtain them. Location offers a hybrid/flexible schedule with in-office presence of 3+ days per week and the option to work remotely on other days.
Required Qualifications
- Bachelor degree or equivalent work experience
- 5 years or more supervisory principal experience
- FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4, 53 or 9/10 (or combination of acceptable/interchangeable licenses based on FINRA waiver rules or grandfather provisions within 180 days of employment)
- Strong decision-making, attention to detail, conflict resolution, and interpersonal skills
- Thorough knowledge of securities products
- Ability to manage multiple projects and time management skills
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.