Job Details

Overview

Urgently hiring for a Supervisory Principal. This role is part of the Accounting and Finance team and involves overseeing the compliance and regulatory functions of our financial operations. You will aid in developing and implementing compliance programs, ensure adherence to FINRA and SEC regulations, and provide guidance on the DOL Fiduciary Rule. The position offers an opportunity to participate in strategic decision-making while managing a team and ensuring the highest level of compliance.

Base pay

$80,000.00/yr - $100,000.00/yr

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

We are seeking an experienced Supervisory Principal to join our dynamic Accounting and Finance team. This individual will oversee the compliance and regulatory functions of our financial operations. Responsibilities include 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 contribute to strategic decisions while managing a team and maintaining high standards of compliance.

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

Benefits & Employment Details

• Full-time employment
• Not Applicable seniority level
• Industries: Accounting, Financial Services, and Banking

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.