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Senior Supervisory Principal; Series — Financial Compliance
Job in
San Diego, San Diego County, California, 92189, USA
Listed on 2026-01-31
Listing for:
AtWork
Full Time
position Listed on 2026-01-31
Job specializations:
-
Management
Regulatory Compliance Specialist, Risk Manager/Analyst -
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Corporate Finance, Risk Manager/Analyst
Job Description & How to Apply Below
A financial firm in San Diego is seeking a Supervisory Principal to oversee advisors and manage compliance processes. The ideal candidate must hold FINRA Series 7 and 24 certifications, along with 2+ years of supervisory experience. Responsibilities include transaction review, conducting monthly risk reports, and addressing advisor training needs. This is a full-time position with a competitive salary range of $100,000 to $110,000 annually.
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Position Requirements
10+ Years
work experience
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