Designated Principal

About the role

Broker dealer designated principal email review. Review firm email from across the firm, including email and social media monitoring, as well as other forms of electronic communication review. This list of duties is not all-inclusive and may be expanded as management deems necessary.

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 requirements.

Pay

Hiring salary range: $55,000 - $70,000. Final salary determined by education, experience, knowledge, skills, internal equity, and market alignment. Subject to business performance, the role may be eligible to participate in an incentive compensation plan.

Benefits

Full range of medical, financial, and/or other benefits, dependent on the position, is offered.