Supervision Principal

About the Role

CornerStone Professional Placement has partnered with a local financial services company in their search for a Supervision Principal well-versed in a wide range of products, including mutual funds, fixed income, and securities. This national firm has experienced significant growth over the past few years. As the Supervision Principal, you will be responsible for reviewing advisor interactions, ensuring compliance with recommendations, and monitoring suitability of financial plans. This is an exciting opportunity for career growth, excellent benefits, and a supportive work environment.

Responsibilities

• Review advisor interactions, including trades, client recommendations, and correspondence.
• Monitor compliance with regulatory requirements and suitability assessments.
• Provide training and education to advisors on best practices and compliance.
• Manage daily supervision inbox and ensure timely follow-ups on pending items.
• Identify process improvement opportunities and escalate issues as needed.

Qualifications

• At least 5 years of experience in financial services.
• Bachelor's Degree in a related field.
• FINRA Series 24 license.

Pay & Schedule

• Employment type: Temporary 6 months to a year.
• Schedule: Standard business hours.
• Salary/Pay: $50/hr - $60/hr.
• Location: Fort Worth - Hybrid work schedule (Monday/Friday WFH). If out-of-area, remote possible only if in Florida, Arizona, North Carolina, South Carolina, Georgia, Kentucky, or Tennessee.