This role serves as the designated Series 24 supervisory principal providing direct FINRA-mandated authority over people, processes, and high-exposure workflows
Job Summary
This role serves as the designated Series 24 supervisory principal providing direct FINRA-mandated authority over people, processes, and high-exposure workflows.
The team operates at the intersection of financial regulation, customer experience, and AI-driven automation to protect the firm while delivering an exceptional investing experience.
You will lead a specialized team across quality management, regulatory complaints, customer service, and process engineering within a rapidly transforming broker-dealer environment.
Matching Summary
This role serves as the designated Series 24 supervisory principal providing direct FINRA-mandated authority over people, processes, and high-exposure workflows.
Skills & Requirements
Must-have
Series 24 registered principal
FINRA supervisory authority
Brokerage operations management
Regulatory complaint program oversight
Books and Records FINRA Attestation
AI-generated communication supervision
BPO partner performance management
Nice-to-have
Experience with AI-driven automation tools
Strong analytical decision-making skills
Builder mentality culture fit
Psychological safety leadership
Process engineering expertise
Key Requirements
Active Series 7, 63, and Series 24 licenses
5+ years in brokerage operations or financial services
3+ years of direct people leadership experience
Deep knowledge of FINRA Rules 3110, 4513, 4530, and 4511