Principal Review Lead

Principal Review Lead The MOHR Enterprises

LLC - 1.0

Mesa, AZ Job Details $75,000 a year 2 hours ago Qualifications Securities & Exchange Commission Regulatory compliance Series 7 Securities law compliance support Securities law Financial services Business operations Full Job Description Principal Review Lead Wealth Management | Mesa, AZ | Hybrid | $75,000 + Incentive Bonus Why This Company? This is not your average financial services firm. One of the fastest growing independent wealth management platforms in the country, they are scaling with purpose and building a team of experts who are empowered to own their work. The culture here is built on advocacy, innovation, and genuine investment in their people. This is a place where your expertise is recognized, your ideas are welcomed, and your growth is part of the plan. What You Will Be Doing Performing principal review on complex client documents including POAs, corporate resolutions, margin applications, and more Owning the signature guarantee program from top to bottom, policies, procedures, risk controls, all of it Managing the full lifecycle of client service forms including creation, compliance review, and distribution Building out strategic weekly and quarterly reports that give leadership real, actionable insights Supporting project management on key departmental initiatives and cross-functional rollouts Mentoring junior team members and serving as the go-to expert for escalated operational issues What You Need to Bring Series 7, Series 24, and Series 63 or 66 (all required, no exceptions) 5+ years in financial services operations with a strong background in principal review or compliance Deep working knowledge of FINRA and SEC regulatory requirements Bachelor's degree in Finance, Business, or a related field (or equivalent experience) What Is In It for You A senior seat at the table with real ownership over programs that matter Hybrid flexibility so you can do your best work your way A culture that is intentional about how it grows and who it grows with Competitive compensation, strong benefits, and a leadership team that invests in your development The opportunity to make a real impact during an exciting period of expansion Your next career move should mean something. This one does. If this sounds like the role you have been waiting for, we want to hear from you. Hit apply and let's start the conversation. MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at #LI-AL