Designated Principal
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets through innovation, human connection, and world-class products and services for all types of investors.
About the role
Broker dealer designated principal email review. Review firm email from across the firm within the Institutional business segment, which offers best-in-class institutional-grade technology, exposure to asset classes such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Responsibilities
- Email and social media review and monitoring
- Other forms of electronic communication review
This list of duties is not all-inclusive and may be expanded to include other responsibilities as needed.
Requirements
- 2 years of experience in broker dealer supervision
- Email surveillance experience
- Good communication skills
- College degree or equivalent industry experience
- Series 7, 24, and 63 licenses
Schedule
4 days per week onsite, 1 day per week remote. Minor travel may be required.
Pay
Hiring salary range: $55,000 - $70,000. Final salary will be determined by education, experience, knowledge, skills, internal equity, and market alignment. Eligible to participate in an incentive compensation plan subject to business performance and management recommendations.
Benefits
Full range of medical, financial, and other benefits offered, dependent on position.