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Job details

State Licensed Senior Principal

Job Summary

A company is looking for a Sr Principal.

Key Responsibilities
  • Conduct complex reviews and monitor activity of the firm's insurance, securities, and retail advisory business for compliance
  • Identify, address, and document concerns, escalating when appropriate
  • Provide assistance to management and offer professional customer service to members and field personnel
Required Qualifications
  • College degree or equivalent work experience required
  • 5-7 years of experience in the financial services industry or related compliance experience
  • Advanced knowledge of FINRA/SEC/IA/NAIC/MSRB rules and regulations
  • FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire
  • Thorough understanding of financial services industry products, including life and annuities, mutual funds, and advisory products

Average salary estimate

$105000 / YEARLY (est.)
min
max
$90000K
$120000K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

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MATCH
VIEW MATCH
FUNDING
SENIORITY LEVEL REQUIREMENT
TEAM SIZE
No info
EMPLOYMENT TYPE
Full-time, remote
DATE POSTED
May 28, 2025

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