Senior Region Registered Principal

This is a fully remote position, open to applicants in Minnesota.

📋 Description

• Oversee the sales operations and assess the appropriateness of each advisor’s complete portfolio in accordance with Written Supervisory Procedures.

• Comprehend the practices, operations, and support personnel of advisors within the designated Office of Supervisory Jurisdiction.

• Deliver and document front-line supervision and compliance oversight.

• Mentor advisors while fostering continuous engagement.

• Perform annual practice evaluations, office inspections, sales and suitability assessments, and verification of compliance requirement fulfillment.

• Manage corrective actions, educational efforts, and disciplinary measures.

• Detect potential policy and procedural breaches through targeted reviews, client outreach, supervisory reports, and risk indicators.

• Collaborate with corporate business partners to investigate and resolve compliance and supervisory challenges.

• Appropriately escalate issues, implement corrective actions, and maintain necessary documentation.

⛳️ Requirements

• Bachelor’s degree or equivalent qualification.

• 7–10 years of pertinent experience.

• In-depth understanding of the financial services sector, broker-dealer regulations, and supervisory obligations.

• Capability to exercise sound judgment and make informed, risk-based decisions in complex scenarios.

• Outstanding communication and relationship management abilities.

• Proven success in managing conflicts, delivering challenging messages, and fostering accountability.

• Strong leadership presence, with the ability to mentor, develop, and influence advisors and business partners.

• Skill in managing competing priorities in a dynamic environment.

• Advanced analytical and problem-solving capabilities.

• Experience in creating and delivering training programs focused on performance and regulatory compliance.

• Strong technical skills and the ability to utilize technology for supervision and oversight.

• Required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable.

• Valid U.S. work authorization that does not currently or in the future necessitate visa sponsorship.

🏝️ Benefits

• Variable compensation in the form of bonuses, commissions, and/or long-term incentives, depending on the position.

• Vacation leave.

• Sick leave.

• 401(k) retirement plan.

• Health insurance coverage.

• Dental insurance coverage.

• Life insurance coverage.

• Opportunity for remote work.