The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies. Key Responsibilities and Duties Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations. Reviews sales activity utilizing a str…
Completá tu perfil y te avisamos cuando se publiquen concursos y oportunidades laborales en las cuales puedas aplicar o se ajusten a ti.
Para que te mantengamos informado de empleos como este — Regional Supervisory Principal
Deja de buscar. Tu próximo trabajo ya está en tu bolsillo. Oportunidades que se adaptan a ti, no al revés.