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Supervisory principal

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Robert Half

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Location:
United States , Minneapolis

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Our client, a growing investment management firm is seeking a compliance professional to join their firm as a Supervising Principal in the Twin Cities. In this role, you will ensure compliance with industry regulations while overseeing the activities of a variety of investment professionals. This position, reporting to the Head of Compliance, is integral to maintaining high operational standards and supporting the firm's commitment to ethical practices.

Job Responsibility:

  • Oversee and approve day-to-day business activities, including new and existing transactions
  • Review and authorize forms for new accounts, service forms, and related client transactions
  • Assist with due diligence processes for new products and vendors
  • Analyze business practices to identify potential risks and trends
  • Collaborate with senior management to recommend updates to policies and procedures
  • Review and approve public communications
  • Serve as a resource for employees on supervision topics and industry best practices
  • Provide support for special projects and organizational initiatives as needed

Requirements:

  • Active FINRA Series 7, 63/65 or 66, and 24 registrations
  • Minimum 3 years of experience in compliance at a financial services firm
  • Strong written and verbal communication abilities
  • Thorough knowledge of applicable laws and regulations affecting the financial services industry
  • Solid understanding of products and services offered by broker dealers and clearing firms
  • Proven quantitative, qualitative, analytical, and problem-solving skills
What we offer:
  • medical, vision, dental, and life and disability insurance
  • eligible to enroll in our company 401(k) plan

Additional Information:

Job Posted:
March 01, 2026

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