Senior Regional Supervisory Principal in United States at Jobgether
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Job Description
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Regional Supervisory Principal based in the United States.
This role sits at the intersection of regulatory oversight, advisor support, and field supervision within a fast-moving financial services environment. The position is responsible for ensuring that advisors and OSJ managers within a defined region operate in full alignment with regulatory standards, internal policies, and industry best practices. Acting as a senior point of escalation, this leader resolves complex supervisory issues while maintaining strong, trust-based relationships with advisors and branch leadership. The role blends compliance rigor with a consultative approach, guiding field teams through evolving FINRA and SEC expectations. It operates in a collaborative, high-accountability setting where risk management, advisor experience, and business enablement must stay tightly balanced. This is a highly visible position with direct influence on regulatory integrity and advisor success across the region.
- Oversee holistic supervision of advisors and OSJ managers across a designated region, ensuring adherence to regulatory and firm requirements.
- Resolve escalated and complex supervisory issues, applying sound judgment and regulatory expertise.
- Serve as a primary regional point of contact to educate, guide, and support advisors in maintaining compliant business practices.
- Partner with internal supervisory teams to ensure consistent application of supervision standards and risk controls.
- Maintain ongoing advisory relationships while promoting proactive compliance and continuous improvement.
- Support risk management efforts by identifying, escalating, and addressing potential regulatory concerns.
This role requires extensive experience in financial services supervision, strong regulatory knowledge, and the ability to manage complex advisory relationships in a fast-paced environment. Candidates should bring both technical expertise and strong interpersonal capabilities.
- FINRA Series 7 and Series 9/10 (or Series 24), plus Series 4 & 53 (or willingness to obtain Series 4 & 53 within 120 days if applicable), and Series 66 (or Series 63 & 65).
- Bachelor’s degree in Business, Finance, Accounting, or a related field.
- 7+ years of experience in the financial services industry, including at least 3 years in a direct supervisory role.
- Strong knowledge of FINRA, SEC, and state regulations, as well as financial products such as mutual funds, annuities, securities, life insurance, and alternatives.
- Proficiency in Microsoft Office tools (Excel, Word, PowerPoint, Access, Visio).
- Strong competencies in customer focus, problem solving, planning and organization, collaboration, and risk management.
- Ability to operate with a proactive, service-oriented mindset and strong attention to detail.
- Competitive base salary range aligned with experience, skills, and location factors.
- Comprehensive health, dental, and vision insurance coverage.
- Retirement savings plan with company matching contributions.
- Paid time off, holidays, and volunteer days.
- Employee stock options and additional total rewards offerings.
- Flexible benefits designed to support work-life balance and personal wellbeing.
- Access to professional development and continuous learning opportunities.