Quality Management Supervision Principal

Overview

Job Title: Supervision Principal – Quality Management

Location: Hybrid (Tuesday–Thursday in office), Dallas-Fort Worth

• Lead and guide escalated matters involving early dispute resolution, complaints, privacy incidents, data loss, regulatory inquiries, and more
• Serve as a Series 24 Registered Principal, reviewing and approving client-facing communications
• Act as a senior member and team lead of the Quality Management Team, mentoring staff and managing workflow
• Respond to regulatory bodies including FINRA, SEC, and state insurance departments
• Manage privacy/security incident responses in collaboration with legal and IT security leadership
• Conduct internal investigations regarding advisor or client-related concerns
• Improve internal policies and training based on regulatory updates and risk mitigation strategies
• Train and support Financial Advisors and internal teams across compliance topics
• Provide support on escalated financial, insurance, and banking operational issues

• 7+ years of experience in the financial services industry
• 4+ years in broker-dealer or investment adviser compliance/legal departments
• Strong knowledge of FINRA, SEC, and related regulatory guidelines
• Active Series 24 license is required
• Series 7, 63, and 65 (or 66) required or ability to obtain within 90–120 days
• Group 1 Insurance License or ability to obtain within 90–120 days
• Excellent communication and judgment skills
• Experience with CRM tools, compliance systems, and case management software
• Strong sense of urgency, discretion, and leadership

• Schedule: Hybrid (in-office Tuesday–Thursday)
• Benefits: Comprehensive benefits package, flexible hours, on-site gym, and more
• Employment Type: Direct Hire

If you are an experienced Supervision Principal with a passion for resolution, compliance, and client experience—we want to talk to you.

Send your resume to Allison Harrison at all

Call  ext. 162 for immediate consideration.