Supervisory Principal

  • location: San Diego, CA
  • type: Contract
  • salary: $40 - $50 per hour
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job description

Supervisory Principal

job summary:
Randstad's Client, a financial services firm located in Central San Diego, is seeking a Supervisory Principal for a 4+ month opportunity. The Supervisory Principal will be responsible for management of documentation in relation to regulatory adherence and compliance.

This position has the opportunity to extend past the initial contract period, potentially into a full-time hire, for a high performer.

Remote applicants are welcome to apply, but may not have the opportunity for a full-time hire upon contract completion.

 
location: San Diego, California
job type: Contract
salary: $40 - 50 per hour
work hours: TBD
education: Bachelor's degree
experience: 3 Years
 
responsibilities:
  • Review and assess documentation for regulatory compliance
  • Work with Financial Advisors to obtain necessary information
  • Research complex reporting issues
  • Review securities transactions for completeness
 
qualifications:
  • 3+ years of experience in the financial services, banking, or related industry
  • Series 24 license (General Securities Principal)
  • Knowledge of mutual funds, annuities, general securities, equities, and alternative investments
Click to apply now or submit your application through our Candidate Portal.

 
skills: Compliance, Trading, Trade Settlement, Risk Management, Regulatory reporting, Mutual Fund Accounting, Equity Research, Trade Processing, Series 24, Audit-Internal, Banking Operations, Trust & Securities Accounting, Analysis - Risk, Risk Audit, State and Local Compliance, Risk - Mitigation, Risk - Management, Risk - Assessment, Risk - Analysis, Certified Financial Service Auditor, Regulatory Compliance - SEC, Regulatory Compliance - Other, Governance Risk & Controls / Audit, Sarbanes Oxley Compliance
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

Qualified applicants in San Francisco with criminal histories will be considered for employment in accordance with the San Francisco Fair Chance Ordinance.

We will consider for employment all qualified Applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.

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