Supervisory Principal | Broker Dealer Compliance

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #34828
  • Salary: $150,000

Position Overview – Supervisory Principal | Broker Dealer Compliance:
Our client, a dually registered investment advisor and broker dealer with over $20+BN of AUM is seeking a Supervisory Principal.  The firm prides itself on providing clients with a curated approach to portfolio management, financial planning, and responsive, high-touch service.

Compensation: $200,000.00 – $225,000.00 + bonus
Location: New York City – Hybrid (3 days in office / 2 days remote)

Responsibilities as the Supervisory Principal include:

  • Reviewing securities transactions, investment activities, and account-level standards of care
  • Approving account documentation, client communications, and registered representative correspondence
  • Monitoring non-trade related transactions and escalating emerging risks
  • Handling personnel disclosures and reporting (outside business activities, personal trading, gift reporting, complaints)
  • Collaborating with various departments to fulfill day-to-day assignments and ad-hoc projects
  • Coaching advisors to ensure client-centric services
  • Performing other supervisory duties as required

Qualifications for the Supervisory Principal include:

  • Strong knowledge of securities, options, mutual funds, and financial products
  • Deep understanding of FINRA and SEC rules and regulations (including Reg BI)
  • 8-10 years of industry experience in supervision or a related role
  • Bachelor's degree in Business, Accounting, Finance, or related discipline (preferred)
  • Experience in developing or implementing effective business supervision systems and strategies
  • High emotional intelligence (EQ) and effective communication skills
  • Inquisitive nature and risk management instinct
  • Series 7, 63/65 (or 66), and 24 licenses required
  • Proficiency in technology, including advanced Microsoft Excel skills, and a willingness to adapt to new technology solutions

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT.

We are uploading your application. It may take a few moments to read your resume. Please wait!

Job ID: 34828