Corporate Supervisory Principal
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Corporate Supervisory Principal Overview We’re seeking a Corporate Supervisory Principal to review advisor email communications and trading activity for compliance with FINRA, SEC, and state regulations, as well as internal supervisory policies.
This role is fast-paced and high-volume, and is ideal for someone who can work independently while exercising strong judgment and attention to detail.
What You’ll Do Review and approve or escalate advisor email and electronic communications flagged by s…
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