State Licensed Supervisory PrincipalVirtualVocations • Carson, California, United States
State Licensed Supervisory Principal
VirtualVocations • Carson, California, United States
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A company is looking for a Supervisory Principal.
Key Responsibilities
Supervise suitability reviews and approvals for complex product transactions
Act as a subject matter expert and liaison with vendors and wholesalers
Lead investigations of questionable sales activity and assist with regulatory exams
Required Qualifications
Undergraduate degree in Business, Accounting, Finance, or related discipline
Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required, or ability to obtain within 90 days
7+ years of industry experience
Strong understanding of complex products and knowledge of financial regulations
Knowledge of mutual funds, annuities, and general securities required
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