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A bit about us:

We are a fast-growing and nationally recognized financial services firm committed to supporting independent financial professionals through best-in-class compliance, supervision, and operational support. With a track record of industry excellence and a people-first approach, we empower financial advisors to operate confidently and independently within a well-structured regulatory framework.

Why join us?

Be part of a forward-thinking firm that prioritizes integrity, advisor support, and regulatory excellence

Work in a dynamic, fast-paced environment where your voice and experience help shape supervisory practices

Collaborate with highly skilled professionals who are passionate about elevating industry standards

Gain access to a strong support network and leadership team that values continuous improvement and mentorship

Competitive compensation package with robust benefits and a strong focus on employee well-being

Job Details

Job Details:

We are seeking an experienced Supervisory Principal to join our dynamic Accounting and Finance team. This individual will play a critical role in overseeing the compliance and regulatory functions of our financial operations. As a Supervisory Principal, you will be responsible for aiding in the development and implementation of compliance programs, ensuring adherence to FINRA and SEC regulations, and providing guidance on the DOL Fiduciary Rule. This position offers an exciting opportunity to be part of the strategic decision-making process, while managing a team and ensuring the highest level of compliance in all financial operations.

Responsibilities:

  • Oversee and manage the regulatory and compliance functions of our financial operations
  • Develop and implement compliance programs to ensure adherence to FINRA and SEC regulations
  • Provide guidance and advice on the DOL Fiduciary Rule to ensure compliance
  • Manage and mentor a team of finance professionals, fostering a culture of continuous learning and improvement
  • Conduct regular compliance audits and risk assessments, and develop strategies to mitigate identified risks
  • Keep abreast of changes in regulations and legislation that may impact the organization's financial operations
  • Collaborate with senior management to develop and implement strategic financial plans
  • Develop and deliver training programs to ensure all team members are up-to-date with compliance requirements

Qualifications:

  • Bachelor's degree in Accounting, Finance, or related field
  • Minimum of 5 years of experience in a supervisory role within the Accounting and Finance industry
  • Series 7, 24, 63.
  • Strong knowledge of FINRA and SEC regulations and the DOL Fiduciary Rule
  • Proven experience in developing and implementing compliance programs
  • Excellent leadership and team management skills
  • Strong analytical and problem-solving skills
  • Excellent communication and presentation skills
  • Ability to stay abreast of changes in financial regulations and legislation
  • High level of integrity and professionalism


Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. Jobot also prohibits harassment of applicants or employees based on any of these protected categories. It is Jobot’s policy to comply with all applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions.

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