A financial firm in San Diego is seeking a Supervisory Principal to oversee advisors and manage compliance processes. The ideal candidate must hold FINRA Series 7 and 24 certifications, along with 2+ years of supervisory experience. Responsibilities include transaction review, conducting monthly risk reports, and addressing advisor training needs. This is a full-time position with a competitive salary range of $100,000 to $110,000 annually.
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Senior Supervisory Principal (Series 7/24) — Financial Compliance in san diego at Unknown Company
This position is listed as full time and onsite.