Senior Regional Supervision Principal

Penn Mutual Life Insurance Company

Remote, US
Base: $105,000 - $120,000; bonus/equity: not speci...
Remote, with up to 50% travel required annually.
Finra series 7 and 24 licenses required
5+ years supervisory experience with broker/dealer or ria
Ability to travel up to 50% annually
The Senior Regional Supervising Principal at Penn Mutual Life Insurance Company is responsible for overseeing the sales practices of approximately 250 Financial Professionals while ensuring compliance with regulatory standards. This remote role involves significant travel and focuses on disciplinary issue resolution, training, and risk mitigation

Job Summary

  • The Senior Regional Supervising Principal oversees approximately 250 Financial Professionals across a designated region to ensure regulatory compliance under FINRA standards.
  • This role is responsible for leading disciplinary issue resolution, conducting policy reinforcement training, and managing complex business-related requests requiring risk assessment.
  • The position requires up to 50% annual travel, including in-person visits to one-third of assigned offices to proactively engage in risk mitigation.

Matching Summary

Match Score: 85

The Senior Regional Supervising Principal at Penn Mutual Life Insurance Company is responsible for overseeing the sales practices of approximately 250 Financial Professionals while ensuring compliance with regulatory standards. This remote role involves significant travel and focuses on disciplinary issue resolution, training, and risk mitigation.

Salary

Base: $105,000 - $120,000; Bonus/Equity: Not specified; Benefits: Comprehensive suite of competitive products and services mentioned

Skills & Requirements

Must-have

  • FINRA Series 7 and 24 licenses required
  • 5+ years supervisory experience with Broker/Dealer or RIA
  • Ability to travel up to 50% annually

Nice-to-have

  • Strong relationship building and conflict resolution skills
  • Experience with complex business request oversight
  • Proficiency in Excel, Word, and PowerPoint

Key Requirements

  • Bachelor's degree preferred
  • FINRA Series 53 and 66 preferred
  • Life Insurance license preferred

Work Rights

Not specified

Tailored Resume

Cover Letter