Overview We are seeking a Supervisory Principal to lead and oversee compliance, risk management, and regulatory functions within our financial services organization. This pivotal role involves ensuring adherence to industry standards, regulatory requirements, and internal policies while fostering a culture of integrity and excellence. The Supervisory Principal will play a key role in managing internal audits, regulatory reporting, and compliance procedures to safeguard the organization's reputation and operational stability. This position offers an exciting opportunity for a motivated professional to influence our compliance framework and contribute to our ongoing success. Responsibilities Oversee internal audit processes, ensuring thorough evaluations of financial controls, risk assessments, and operational procedures in accordance with company and regulatory policy. Monitor and review agent activities to identify and address potential compliance risk. Prepare accurate regulatory reports, ensuring timely submission in compliance with industry standards and legal requirements. Collaborate with cross-functional teams to enhance compliance management systems and implement best practices for financial regulatory compliance. Conduct regular branch and agent visits ensuring ongoing training and support regarding compliance and supervisory standards. Maintain up-to-date knowledge of industry regulations, financial concepts, and technical accounting standards to inform strategic decision-making. Skills and Competencies Exceptional analytical, organizational, and problem-solving abilities. Extensive knowledge of securities and insurance regulations. High ethical standards and sound judgment in decision making. Effective communication skills for reporting findings clearly and collaborating with internal teams or external regulators. Ability to manage multiple priorities and deadlines with attention to detail. Required Qualifications Bachelor's degree in Business Administration, Finance, or related field (or equivalent experience). Minimum 5 years experience the financial services, insurance, or agency operations. Active FINRA Series 7, Series 24, Series 63, Series 65/66 required. Ability to gather Series 53 within 90 days of hire. This role is ideal for a proactive leader with a passion for maintaining the highest standards of compliance within a fast-paced financial environment. If you thrive on ensuring operational integrity while navigating complex regulations with confidence—this is your opportunity to make a meaningful impact!

Pay:

$70,000.00 - $100,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible schedule Flexible spending account Health insurance Health savings account Life insurance Paid time off Professional development assistance Vision insurance

Work Location:

Hybrid remote in Mechanicsburg, PA 17050