Supervisory Principal Consultant
About The Position
The Supervision Consultant supports the day-to-day oversight of registered representatives in a wholesale broker-dealer environment. This role is a first line of defense embedded in the business, focused on high-volume supervision, risk management, and operational execution. The Supervision Consultant will oversee activities such as communications, non-cash compensation (NCC), and marketing — helping the business move efficiently while staying aligned with regulatory requirements. This role will supervise wholesalers who partner with financial professionals — with a focus on sales engagement, communications, and behavioral risk.
Requirements
- 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
- 3–5+ years in broker-dealer supervision, compliance, or related experience
- Strong understanding of FINRA supervision requirements
- FINRA SIE and FINRA Series 6 or 7 required at time of hire
- FINRA Series 63 obtained within 120 days of start date
- Series 24 or Series 26 within 90 days of start date
Responsibilities
- Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related orders
- Monitoring gift & entertainment activity for policy, strategic firm and regulatory compliance
- Conducting surveillance of email, text, and social media communications
- Responding to field inquiries and providing clear, practical supervision guidance
- Conducting annual interviews and training sessions with registered representatives
- Identifying and escalating potential risks, applying sound, business-aware judgment
- Contributing to or lead SME areas (e.g., NCC, communications, marketing, registration, complaints)
- Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversight
- Delivering fast, accurate supervision in a high-volume environment
- Identifying risks early without slowing down business
- Building expertise in key areas and improving consistency and quality across reviews
Benefits
- PTO/parental leave
- Competitive 401K and employee benefits
- Free financial counseling, health coaching and employee assistance program
- Tuition assistance program
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
Associate degree
