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, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
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.
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.