Supervisory Principal

TEKsystems • Coppell, TX

10d • Hybrid

About The Position

We are seeking a Supervisory Principal to join a high-performing supervision team focused on compliance excellence and business oversight. This role is ideal for a registered principal who enjoys working in a fast‑paced, detail‑oriented environment and takes pride in supporting financial professionals while protecting firm standards. Successful candidates are self‑motivated, analytical, and strong communicators with a deep understanding of financial services products and regulations.

Requirements

• 3+ years of compliance or relevant securities industry experience
• 3+ years of experience with securities products, including stocks, bonds, options, annuities, and mutual funds
• Strong understanding of industry rules governing transactions and suitability
• FINRA Series 7, 24, 63, and 65 or 66 (required)
• Series 52/53 required after hire
• Strong working knowledge of industry products and services (mutual funds, UITs, ETFs, REITs, annuities, alternative investments)
• Excellent communication and technology skills
• Ability to manage competing priorities in a fast‑paced, time‑sensitive environment
• Detail‑oriented with strong critical‑thinking skills
• Collaborative team player committed to department and firm success
• Customer‑focused mindset with strong relationship‑building skills

Responsibilities

• Oversee assigned financial representatives by reviewing and approving: New customer accounts, Daily transactions, Correspondence, Regulation Best Interest (Reg BI) requirements
• Review alerts related to advisory account exceptions
• Conduct customer account reviews to identify potential sales abuses or suitability concerns
• Discuss compliance issues or potential violations directly with financial representatives
• Provide education and guidance to financial professionals on: Regulatory, corporate, and legal requirements, Product offerings, Licensing matters, Internal processes and procedures

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed