Government Careers

  • TX Supervisory Principal (29)

  • Virtual Vocations
  • all cities, North Dakota 29 United States View Map

As a full-time TX Supervisory Principal, the candidate will manage transaction reviews for compliance, assist financial professionals in obtaining necessary suitability information, and coordinate with internal partners to ensure timely processing of business operations in a hybrid work environment.Key responsibilitiesReview transaction submissions for risk and regulatory complianceCommunicate with financial professionals to gather suitability information and necessary formsResearch and resolve complex issues while maintaining strong relationships with business partnersRequired qualificationsMinimum of 2 years of experience in Financial Services, preferably in a supervisory roleFINRA Series 7 and Series 24 licenses requiredFINRA Series 53 license is encouragedSeries 66 (or Series 63 & 65) preferredExperience in data analysis and recognizing trends in large data sets

As a full-time TX Supervisory Principal, the candidate will manage transaction reviews for compliance, assist financial professionals in obtaining necessary suitability information, and coordinate with internal partners to ensure timely processing of business operations in a hybrid work environment.Key responsibilitiesReview transaction submissions for risk and regulatory complianceCommunicate with financial professionals to gather suitability information and necessary formsResearch and resolve complex issues while maintaining strong relationships with business partnersRequired qualificationsMinimum of 2 years of experience in Financial Services, preferably in a supervisory roleFINRA Series 7 and Series 24 licenses requiredFINRA Series 53 license is encouragedSeries 66 (or Series 63 & 65) preferredExperience in data analysis and recognizing trends in large data sets

Government Careers

Government Careers

Government jobs offer stability, competitive benefits, and the chance to make a meaningful impact on your community and country.

Whether you’re starting your career or seeking new opportunities, these roles provide pathways for growth, security, and service.

Explore positions across a wide range of fields and take the first step toward a rewarding future in public service.

Show more
Apply Now

MORE JOBS

Show More