Supervisory Principal
We're seeking a Supervisory Principal to join our dynamic team within the Client Success Organization. As a first-line defense function, you'll play a pivotal role in conducting due diligence reviews on prospective representatives, evaluating outside business activity and private securities transactions, and ensuring compliance with regulatory standards. Working closely with various departments, you will help maintain the integrity of our client relationships and uphold our commitment to excellence.
Supervisory Principal • Saint Louis, MO, US