associate staffingRock Hill, SC
Corporate Supervisory Principal
Corporate Supervisory Principal
Corporate Supervisory Principal
associate staffingRock Hill, SC
yesterday
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment Activities
Apply for this role →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 surveillance systems, following applicable regulatory requirements and firm policy
- Conduct trade review (daily trade blotters and exception reports) to assess suitability, Regulation Best Interest (Reg BI) considerations, concentration, and product-specific requirements
- Identify and escalate red flags such as excessive trading, unsuitable recommendations, unapproved outside business activities, and potential customer harm
- Document supervisory review, findings, and resolutions clearly and accurately in internal systems
- Contact advisors and branch personnel to request information, clarify activity, and resolve open items
- Meet daily and weekly review deadlines and quality standards
- Partner with Compliance, Risk, and other supervision teams on escalations and trends
- Stay up to date on regulatory changes and internal policy updates
Required Qualifications:
- Experience in broker-dealer supervision, compliance, and/or trade/correspondence review
- Working knowledge of FINRA and SEC rules, including Reg BI, suitability, and communications rules
- Strong attention to detail and sound judgment
- Clear, professional written and verbal communication skills
- Ability to work independently in a high-volume, deadline-driven environment
Preferred Qualifications:
- Experience in an independent broker-dealer or hybrid RIA environment
- Familiarity with surveillance and review platforms
- Experience reviewing alternative investments, annuities, or advisory accounts
- Bachelor’s degree in finance, business, or a related field
- If you’re interested, please apply with an updated resume.
Also on the board Same function, level within a rung
Level
Senior
Location
Rock Hill, SC
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday