Registered Principal
Minnesota, United States of America
Full Time
3 weeks ago
$87,400 - $110,000 USD
No Visa Sponsorship
About this role
Role Overview
- Provide front-line supervision to an advisor’s practice
- Conduct and document ongoing 1:1 interactions
- Administer discipline and education when appropriate
- Analyze reports and metrics for trends
- Validate appropriate advisor training is taking place
Requirements
- 5-7 years of compliance supervisory experience
- Knowledge of financial services industry and B/D regulatory rules
- Active Series 7
- Active Series 24
- Active State IAR registration (S65 or S66)
- Active State securities agent registration (S63 or S66)
Benefits
- Health insurance
- 401(k)
- Vacation time
- Sick time
- Dental insurance
- Life insurance