Compliance Principal

Mutual Group

15h • $70,000 - $110,000 • Remote

About The Position

The Compliance Principal supports the firm’s registered representatives and investment adviser representatives on compliance matters, focusing on account and transaction supervision. The role owns day-to-day surveillance of client and employee trading, insurance and annuity suitability reviews, anti-money laundering monitoring and investigations, and portfolio risk reviews. It serves as an escalation point for advisors and the Compliance team, resolving cases accurately and on time, and leads targeted projects to strengthen surveillance, training, and supervisory controls.

This principal-level role is for an experienced broker-dealer and RIA compliance professional who will take ownership of a supervision program and help improve it. The position is remote and reports to the Director, Compliance. It is full-time, exempt, and salaried.

Requirements

• Bachelor's degree in business, finance, or a related field, or equivalent industry experience.
• Five or more years of broker-dealer or RIA compliance experience, including principal-level review and approval.
• Active Series 7, 24, and 63 licenses.
• Working knowledge of SEC and FINRA rules, AML and CIP requirements, suitability, and Regulation Best Interest standards.
• Experience with surveillance platforms and compliance workflow tools.
• Proficiency in Microsoft Excel and SharePoint.
• Strong investigative, analytical, and writing skills, including the ability to document decisions to withstand examination scrutiny.
• Ability to manage multiple deadlines in a fast-paced, distributed environment.

Nice To Haves

• Series 53 or 51 and Series 66 licenses (strongly preferred).
• Experience supporting FINRA or SEC examinations, including compiling exhibits and drafting responses.
• Experience reviewing insurance and annuity transactions for suitability.
• Experience conducting branch examinations and reviewing advertising and correspondence.

Responsibilities

• Review surveillance reports and trade alerts for client and employee accounts, resolving sales practice concerns within expected service levels.
• Perform secondary reviews of high-risk accounts and complex transactions, and approve transactions requiring principal review.
• Investigate issues, document findings, and drive corrective actions with advisors and business units.
• Review insurance and annuity recommendations and transactions for suitability and supervisory requirements, and document approval decisions.
• Escalate exceptions and work with advisors and internal teams to resolve them.
• Run AML and CIP monitoring, conduct investigations and due diligence, and document outcomes.
• Recommend enhancements to AML and CIP procedures as rules and risks change.
• Monitor portfolios for concentration, suitability, and portfolio management risks, and work flagged accounts to resolution.
• Produce compliance metrics and trend analyses from surveillance and review activity, and propose improvements.
• Work the Compliance case queue, handle advisor and client inquiries, and provide clear guidance.
• Compile data and exhibits for regulatory examinations, inquiries, and internal reviews, and help draft responses as directed.
• Create and deliver targeted training and job aids as rules evolve.
• Provide backup coverage for other Compliance reviews as assigned, including advertising and correspondence review, branch examinations, and regulatory filings.

Benefits

• Comprehensive medical, dental, and vision coverage.
• 401(k) participation with company match.
• Paid time off and paid holidays.
• Eligibility for a discretionary performance-based bonus.
• Wellness initiatives.
• Opportunities for continuous learning and professional development in a supportive team.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior