Accounts Principal

Kovack Securities, Inc. (KSI) and Kovack Advisors, Inc. (KAI), subsidiaries of Kovack Financial, LLC, are dedicated to empowering entrepreneurial financial professionals in building independent and competitive practices. Since its founding, the firm has focused on delivering resources, services, and training to help financial professionals efficiently manage their businesses while meeting client needs. With a flexible approach through their open product architecture and innovative fee-based programs, advisors are equipped to create tailored investment strategies.

Kovack Financial Network emphasizes partnership, professionalism, and providing financial advice of the highest quality. The firm is headquartered in Fort Lauderdale, FL, with leading-edge support provided by reputable clearing firms such as National Financial Services (NFS) and BNY's Pershing.

This is a full-time hybrid position for a New Accounts Principal based in Fort Lauderdale, FL, with partial remote work flexibility. The New Accounts Principal will be responsible for overseeing the account-opening process to ensure compliance with firm policies and regulatory requirements. Day-to-day responsibilities include reviewing and processing new account documentation, working closely with financial professionals to address inquiries, and resolving issues in a timely and accurate manner.

The role will also involve maintaining thorough knowledge of industry regulations and internal procedures, collaborating with colleagues to improve workflows, and upholding the firm's commitment to exceptional compliance and operational standards.

• Perform supervisory reviews of registered representatives’ and investment advisor’s activity in accordance with regulatory rules and firm policies
• Support implementation and maintenance of supervisory procedures and compliance controls
• Escalate potential regulatory or compliance issues to senior compliance leadership
• Assist with regulatory inquiries, examinations, and internal reviews
• Maintain accurate supervisory documentation and records
• Participate in compliance projects and ad hoc reviews as assigned

• Active FINRA Series 24 required
• Bachelor’s degree in related field.
• 3+ years of experience in a broker-dealer compliance or supervisory role
• Working knowledge of FINRA and SEC rules as well as broker-dealer and RIA supervisory requirements
• Strong attention to detail and organizational skills
• Clear written and verbal communication skills