Job Description
Full job description
Overview
Join our dynamic financial services team as a FINRA Series 24 Principal, where your expertise will drive compliance, leadership, and operational excellence within our brokerage operations. This flexible, commission-based role offers an exciting opportunity to leverage your deep knowledge of securities regulations and financial management to support a thriving advisory environment. As a key leader, you'll oversee regulatory adherence, mentor team members, and ensure the highest standards of integrity and professionalism in all activities. Your proactive approach will help shape the future of our firm’s compliance landscape while providing you with the flexibility to grow your career on your terms.
Responsibilities
Lead and supervise the firm’s securities activities to ensure full compliance with FINRA rules, SEC regulations, and applicable laws.
Oversee the development and implementation of policies related to securities law, tax regulations, and estate planning strategies.
Provide expert guidance on complex financial concepts including investment management, wealth management, and cash management.
Conduct regular audits of financial transactions, portfolio management practices, and customer accounts to identify potential compliance issues.
Mentor and train staff on securities law, financial analysis, and technical accounting procedures to foster a culture of continuous improvement.
Collaborate with legal teams on wills, trusts, estate law matters, and other legal documentation related to client estate planning needs.
Maintain up-to-date knowledge of industry trends in financial services, research methodologies, and financial software tools to enhance operational efficiency.
Skills
Extensive knowledge of securities law, including FINRA regulations and compliance standards for brokerage firms.
Strong understanding of estate planning, wills, trusts & estate law, and tax strategies relevant to high-net-worth clients.
Proven experience in financial sales with a focus on client relationship management and consultative selling techniques.
Proficiency in financial analysis, investment management software, research tools, and technical accounting systems.
Excellent math skills combined with a solid grasp of financial concepts such as asset management and portfolio management.
Ability to interpret complex financial data accurately while maintaining attention to detail in a fast-paced environment.
Effective communication skills for training team members and liaising with regulatory authorities. This role is perfect for motivated professionals eager to make an impact within a flexible work environment that rewards expertise in finance regulation and client advisory services. If you’re passionate about guiding teams through complex legal frameworks while delivering exceptional service in the financial sector—this is your opportunity to thrive!
Job Types: Full-time, Part-time, Contract
Pay: $93,495.12 - $112,596.27 per year
Work Location: Remote
Overview
Join our dynamic financial services team as a FINRA Series 24 Principal, where your expertise will drive compliance, leadership, and operational excellence within our brokerage operations. This flexible, commission-based role offers an exciting opportunity to leverage your deep knowledge of securities regulations and financial management to support a thriving advisory environment. As a key leader, you'll oversee regulatory adherence, mentor team members, and ensure the highest standards of integrity and professionalism in all activities. Your proactive approach will help shape the future of our firm’s compliance landscape while providing you with the flexibility to grow your career on your terms.
Responsibilities
Lead and supervise the firm’s securities activities to ensure full compliance with FINRA rules, SEC regulations, and applicable laws.
Oversee the development and implementation of policies related to securities law, tax regulations, and estate planning strategies.
Provide expert guidance on complex financial concepts including investment management, wealth management, and cash management.
Conduct regular audits of financial transactions, portfolio management practices, and customer accounts to identify potential compliance issues.
Mentor and train staff on securities law, financial analysis, and technical accounting procedures to foster a culture of continuous improvement.
Collaborate with legal teams on wills, trusts, estate law matters, and other legal documentation related to client estate planning needs.
Maintain up-to-date knowledge of industry trends in financial services, research methodologies, and financial software tools to enhance operational efficiency.
Skills
Extensive knowledge of securities law, including FINRA regulations and compliance standards for brokerage firms.
Strong understanding of estate planning, wills, trusts & estate law, and tax strategies relevant to high-net-worth clients.
Proven experience in financial sales with a focus on client relationship management and consultative selling techniques.
Proficiency in financial analysis, investment management software, research tools, and technical accounting systems.
Excellent math skills combined with a solid grasp of financial concepts such as asset management and portfolio management.
Ability to interpret complex financial data accurately while maintaining attention to detail in a fast-paced environment.
Effective communication skills for training team members and liaising with regulatory authorities. This role is perfect for motivated professionals eager to make an impact within a flexible work environment that rewards expertise in finance regulation and client advisory services. If you’re passionate about guiding teams through complex legal frameworks while delivering exceptional service in the financial sector—this is your opportunity to thrive!
Job Types: Full-time, Part-time, Contract
Pay: $93,495.12 - $112,596.27 per year
Work Location: Remote
💡 Quick Summary
Seeking a career-building opportunity? The FINRA Series 24 Principal – Flexible, Commission-Based position is now open for candidates interested in the Work from home Jobs sector. This role in New York City offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Work from home Jobs is a plus.
