Supervisory Principal
On-site · Oklahoma City, Oklahoma, United States
Job Summary
Supervisory Principal responsible for supervising the sales activities of advisors, communicating with advisors and sales managers regarding compliance regulations, and serving as a subject matter expert on compliance and OSJ responsibilities. Educates advisors and administrative staff on supervisory procedures; reviews and supervises sales activities including new business, trades, new accounts, emails, and complex product purchases; develops training criteria for advisors and monitors progress; requires working knowledge of FINRA, MSRB, and SEC regulations; supports conflict management and assists in implementing new Compliance Alerts; provides supervision detail and support for BOSC, Inc. management. Strong emphasis on securities products knowledge, regulatory compliance, and leadership within a broker/dealer environment.
Required Qualifications
- Bachelor’s degree
- FINRA Series 7
- FINRA Series 24
- 5+ years of experience in supervision or 9-11 years of equivalent work-related experience in a broker/dealer or Office of Supervisory Jurisdiction location
- Preferred Series 65 or 66, Series 53 (or their equivalent)
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