Supervisory Principal
- $80,000 - $100,000
- San Diego, CA
Urgently hiring for a Supervisory Principal for a Financial Institution!
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
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:
Qualifications:
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.
Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance.
Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal.
By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Jobot, and/or its agents and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here: jobot.com/privacy-policy
Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance.
Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal.
By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Jobot, and/or its agents and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here: jobot.com/privacy-policy