Senior Compliance / Supervision Principal
MOHR Talent · Phoenix, AZ · 1 wk ago
Management$100k/yrFull-time
Responsibilities
- Supervise Financial Advisors and Investment Advisor Representatives
- Review new business, trades, annuities, alternative investments, and advisor communications
- Resolve escalated compliance and supervisory matters
- Partner with advisors on regulatory guidance and risk management
- Prepare responses to regulatory inquiries
- Mentor and train members of the supervision team
- Help drive consistency across supervision processes and advisor support
Qualifications
- 6+ years in Broker-Dealer Supervision, Compliance, Surveillance, or Risk Management
- Current Series 7 and Series 24 (or 9/10)
- Series 66 (or 63/65)
- Strong understanding of FINRA, SEC, and RIA regulations
- Experience working directly with Financial Advisors
- Excellent written and verbal communication skills
Benefits
Up to $100K salary plus bonus
Pay
TBD
Schedule
Full-time, remote
Company Information
A respected national financial services organization
Newly created role
Leadership visibility
Individual contributor with mentoring responsibilities
Collaborative culture
Excellent long-term career growth
MOHR Talent is an equal-opportunity employer