Job Description
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Regional Supervisory Principal based in the United States.
This role sits at the intersection of regulatory oversight, advisor support, and field supervision within a fast-moving financial services environment. The position is responsible for ensuring that advisors and OSJ managers within a defined region operate in full alignment with regulatory standards, internal policies, and industry best practices. Acting as a senior point of escalation, this leader resolves complex supervisory issues while maintaining strong, trust-based relationships with advisors and branch leadership. The role blends compliance rigor with a consultative approach, guiding field teams through evolving FINRA and SEC expectations. It operates in a collaborative, high-accountability setting where risk management, advisor experience, and business enablement must stay tightly balanced. This is a highly visible position with direct influence on regulatory integrity and advisor success across the region.
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Regional Supervisory Principal based in the United States.
This role sits at the intersection of regulatory oversight, advisor support, and field supervision within a fast-moving financial services environment. The position is responsible for ensuring that advisors and OSJ managers within a defined region operate in full alignment with regulatory standards, internal policies, and industry best practices. Acting as a senior point of escalation, this leader resolves complex supervisory issues while maintaining strong, trust-based relationships with advisors and branch leadership. The role blends compliance rigor with a consultative approach, guiding field teams through evolving FINRA and SEC expectations. It operates in a collaborative, high-accountability setting where risk management, advisor experience, and business enablement must stay tightly balanced. This is a highly visible position with direct influence on regulatory integrity and advisor success across the region.