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Supervisory Principal - Series 24 at Ascendo Resources Supervisory Principal - Series 24 at Ascendo Resources in Dania, Florida Posted in 2 days ago.

Type:

full-time

Overview:

A broker-dealer is seeking a Supervisory Principal to support day-to-day supervisory and compliance functions. This role is ideal for a professional who holds an active Series 24 and is looking to grow within a supervisory and regulatory environment while working closely with senior compliance leadership.

Key Responsibilities:

Perform supervisory reviews of registered representatives' activity in accordance with FINRA rules and firm policies Review and approve communications, transactions, and account activity as required Assist with supervision of trading activity, outside business activities, and correspondence Support implementation and maintenance of supervisory procedures and compliance controls Escalate potential regulatory or compliance issues to senior compliance leadership Assist with regulatory inquiries, examinations, and internal reviews Maintain accurate supervisory documentation and records Participate in compliance projects and ad hoc reviews as assigned

Qualifications:

Active FINRA Series 24 required Bachelor's degree in related field. 3+ years of experience in a broker-dealer compliance or supervisory role Working knowledge of FINRA rules and broker-dealer supervisory requirements Strong attention to detail and organizational skills Clear written and verbal communication skills Ability to work in a fast-paced, regulated environment