General Securities Principal

The General Securities Principal is responsible for helping ensure compliance with FINRA, SEC, and other applicable regulatory requirements while promoting sound sales practices, effective controls, and a strong culture of compliance. Supervises securities compliance, and risk management activities for our registered representatives and investment-related operations. The candidate will bring hands-on securities industry experience, the ability to identify, escalate, and help resolve regulatory, trading, and sales practice concerns. Works collaboratively with business and compliance partners...