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General Securities Principal Jobs (NOW HIRING)

Synovus

Investment Associate - Destin FL

Destin, FL · On-site

Acts as a liaison with the Synovus Securities principal desk and operations team. Promotes a strong ... The information on this description has been designed to indicate the general nature and level of ...

Northrop Grumman Corporation

$129K - $193K/yr

These teams span all different areas of cloud engineering including information security ... general guideline; however, Northrop Grumman considers a number of factors when determining base ...

ManTech

Security Specialist

Fort Belvoir, VA · On-site

... general information, as needed; and interact with other PERSEC offices for PAR processing ... security principals as they apply to Special Access Programs (SAPs) * Masters Degree Clearance ...

Northrop Grumman Corporation

$129K - $193K/yr

CompTIA Security+ certification or IAT Level II equivalent per DoD 8570.01 * Certified (associate ... represents a general guideline; however, Northrop Grumman considers a number of factors when ...

HDR

ICT/Security Justice Principal

Plymouth Meeting, PA · On-site

Overview Due to continued growth, HDR has immediate openings for ICT/Security Justice Principal to ... Independently perform ICT/Security engineering assignments with broad general instruction from ...

HDR

ICT/Security Justice Principal

Plymouth Meeting, PA · On-site

Overview Due to continued growth, HDR has immediate openings for ICT/Security Justice Principal to ... Independently perform ICT/Security engineering assignments with broad general instruction from ...

ManTech

Security Specialist Jobs

Huntsville, AL · On-site

... general information, as needed; and interact with other PERSEC offices for PAR processing ... security principals as they apply to Special Access Programs (SAPs) * Masters Degree Clearance ...

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General Securities Principal information

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$36.5K

$109.4K

$182K

How much do general securities principal jobs pay per year?

As of Aug 12, 2026, the average yearly pay for general securities principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What skills and qualifications are needed to thrive as a general securities principal?

To thrive as a General Securities Principal, you need a deep understanding of securities regulations, supervisory procedures, and compliance oversight, usually demonstrated by holding FINRA Series 24 or equivalent licenses. Proficiency with electronic compliance monitoring platforms, trade surveillance systems, and regulatory filing tools is important. Strong leadership, decision-making abilities, and effective communication skills help set standout professionals apart in this role. These competencies ensure the firm meets regulatory requirements, mitigates risk, and maintains operational integrity in a fast-paced financial environment.

What are common challenges faced by general securities principals, and how are they addressed?

General Securities Principals often navigate challenges such as staying current with evolving regulatory requirements, managing multiple supervisory responsibilities, and overseeing compliance across diverse business lines. To address these, firms typically provide ongoing regulatory training, robust compliance technology, and support from dedicated compliance and legal teams. Collaborating closely with registered representatives, compliance staff, and senior management is essential to resolve issues efficiently. Successful Principals proactively communicate updates, maintain meticulous documentation, and foster a culture of compliance within their teams. This collaborative and informed approach helps mitigate risks and contributes to the overall success of the financial institution.

What is a general securities principal?

A General Securities Principal supervises and manages the activities of registered representatives in a brokerage or investment firm. They ensure compliance with securities laws, firm policies, and industry regulations set by FINRA and the SEC. Their responsibilities include approving new accounts, overseeing trades, and managing sales practices. To become a General Securities Principal, individuals must typically pass the FINRA Series 24 exam and meet other licensing requirements.

More about General Securities Principal jobs
What cities are hiring for General Securities Principal jobs? Cities with the most General Securities Principal job openings:
What are the most commonly searched types of General Securities Principal jobs? The most popular types of General Securities Principal jobs are:
What states have the most General Securities Principal jobs? States with the most job openings for General Securities Principal jobs include:
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General Securities Principal jobs near you
Infographic showing various General Securities Principal job openings in the United States as of August 2026, with employment types broken down into 59% Full Time, and 41% Part Time. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Investment Associate - Destin FL

Synovus

Destin, FL • On-site

Full-time

Re-posted 20 days ago

Synovus rating

8.9

Company rating: 8.9 out of 10

Based on 27 frontline employees who took The Breakroom Quiz

12th of 171 rated banks

Job description

Job Summary:
Provides support to Financial Advisors through coordination of all client service activities ensuring client advocacy and continued profitability through organic growth and cultivation of referral opportunities.Works closely with clients to meet financial objectives including analyzing financial needs and providing recommendations. Complies with all compliance and risk policies. Resolves issues with little or no direction and produces client ready documentation. Organizes, manages, and tracks multiple assignments with frequently changing priorities and deadlines. Functions as part of a team, dedicated to achieving overall sales goals.
Job Duties and Responsibilities:
  • Uses independent judgement to support strategic vision of the team, and implement new business processes. Targets and profiles clients, identifying potential sales opportunities, driving sales results in investments and insurance. Meets with clients to review accounts, answer questions, and discuss strategy. Maintains confidentiality.
  • Provides direct support to clients and Financial Advisors by responding to inquiries, processing new accounts, trade execution, fund transfers, obtaining necessary account documents, and account transfers. Acts as a liaison with the Synovus Securities principal desk and operations team. Promotes a strong working relationship with licensed bank team members, personal advisors, Trust, and other bank Partners.
  • Facilitates, coordinates, and executes service activities including onboarding new clients, resolving service requests, gathering and compiling data for Advisor and client meetings. Supports the team's marketing strategy by maintaining marketing materials available.
  • Masters technology platforms and champions adoption to ensure platforms are used to their full benefit. Prepares and processes correspondence and communications. Schedules appointments and prepares materials for client meetings.
  • Researches client and security information. Processes trade orders and executes client trade requests.
  • Participates in available training and educational programs to maintain current status on policies, procedures, and risk awareness.
  • Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Firm authority in a timely fashion.
  • Performs other related duties as required.

The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job
Pinnacle is an Equal Opportunity Employer committed to fostering an inclusive work environment.
Minimum Education: Bachelor's degree OR an equivalent combination of education and experience.
Minimum Experience: Two years of sales support experience in the financial services industry.Series 7 and 63 or 65 or 66 licenses.
Required Knowledge, Skills & Abilities:
  • Stand or Walk Regularly
  • Sit Regularly
  • Talk and Hear Regularly
  • Climb, Bend, Kneel, Crouch, or Crawl Regularly
  • Ability to see objects up close or at a distance, use peripheral vision, identify basic colors
  • Use of Hands/ability to reach
  • Up to 10 pounds weight lifting/force exertion required
  • Weight/Force exertion required less than 25%
  • Travel required less than 10%. This position may require FINRA licensing/certifications.

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