This role serves as the designated Series 24 supervisory principal with direct FINRA-mandated authority over people, processes, and high-exposure workflows
Job Summary
This role serves as the designated Series 24 supervisory principal with direct FINRA-mandated authority over people, processes, and high-exposure workflows.
The position is responsible for rebuilding and scaling a high-performing team within a broker-dealer environment undergoing rapid transformation while ensuring regulatory compliance.
You will champion the adoption of AI and automation tools to transition from manual execution to an intelligence-driven operating model without compromising regulatory integrity.
Matching Summary
This role serves as the designated Series 24 supervisory principal with direct FINRA-mandated authority over people, processes, and high-exposure workflows.
Skills & Requirements
Must-have
Series 24 supervisory principal authority
FINRA complaint program management
Books & Records FINRA Attestation sign-off
AI-generated communication oversight
Brokerage operations team leadership
BPO partner performance management
Nice-to-have
Psychological safety in high-stakes environments
Builder mentality culture alignment
Data-driven operational improvement
Strategic workforce planning skills
Key Requirements
Active Series 7, 63, and Series 24 licenses
5+ years experience in brokerage operations
3+ years direct people leadership in regulated finance
Deep knowledge of FINRA Rules 3110, 4513, 4530, 4511