Supervisory Principal, Onboarding Supervision and OBA

We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness , act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

- 3+ years of experience in financial services, with a focus on compliance reviews involving outside business activities

- Prior client-facing experience with a demonstrated ability to confidently communicate complex issues, explain regulatory requirements, and ask thoughtful, open-ended questions

- Knowledge of FINRA, SEC, and state regulatory rules and requirements

- Licensing: FINRA Series 7, Series 24, and Series 63 or Series 66

- Ability to work effectively in a fast-paced, high-volume environment while maintaining flexibility and prioritizing competing demands

- Customer focus, collaboration skills, time management, organizational abilities, and written and verbal communication skills

- Attention to detail, sound judgment, and strong problem-solving and follow-through capabilities

- Experience with Adobe, all Microsoft applications, particularly, Excel, Word, and PowerPoint; Familiarity with Salesforce a plus

- Customer service skills with the ability to communicate effectively across all levels of the organization

- Ability to make sound regulatory and risk-based decisions to support daily supervisory responsibilities

- Demonstrated commitment to proactive collaboration and service-oriented responses when addressing escalated issues and business partner concerns