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Managing Principal Wealth Management Jobs (NOW HIRING)

PBK

Managing Principal

La Jolla, CA

$142K - $213K/yr

PBK's corporate resources and management team will be made available to assist the Principal in meeting these goals. * Operational: The Managing Principal will ultimately be responsible for the ...

Savvy Wealth, Inc.

Wealth management is a $545 billion industry that still runs on manual work. 75% of advisors offer no digital communication beyond email, and most still build financial plans by hand in Excel. Savvy ...

PBK

Managing Principal

La Jolla, CA · On-site

$142K - $213K/yr

PBK's corporate resources and management team will be made available to assist the Principal in meeting these goals. * Operational: The Managing Principal will ultimately be responsible for the ...

Cerity Partners Management LLC

Wealth Advisor

San Jose, CA · On-site

$165K - $175K/yr

Position Summary The Principal Wealth Advisor serves as a key relationship manager, ensuring high client retention by meeting all service needs and developing personalized wealth planning strategies.

HDR

Managing Principal

Philadelphia, PA · On-site

The Managing Principal role at HDR is one where a collaborative attitude is necessary and expected ... A minimum of 10 years previous management experience * Professional Architectural registration

PBK Architects, Inc.

Managing Principal

California, MO · On-site

$142K - $213K/yr

PBK's corporate resources and management team will be made available to assist the Principal in meeting these goals.* **Operational:** The Managing Principal will ultimately be responsible for the ...

HDR

Managing Principal

Philadelphia, PA · On-site

The Managing Principal role at HDR is one where a collaborative attitude is necessary and expected ... A minimum of 10 years previous management experience * Professional Architectural registration

Architect Search

Managing Principal

Austin, TX · On-site

$150K - $200K/yr

As Managing Principal, you will serve as a senior leader responsible for deepening client ... Support project management teams by overseeing project-level performance and helping ensure ...

HDR

Managing Principal

Minneapolis, MN · On-site

The primary responsibility of the Managing Principal is for strategic vision, leadership ... A minimum of 10 years previous management experience * Professional Architectural registration

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Managing Principal Wealth Management information

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How much do managing principal wealth management jobs pay per year?

As of Sep 9, 2026, the average yearly pay for managing principal wealth management 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 is a managing principal in wealth management?

A Managing Principal in Wealth Management is a senior executive responsible for overseeing the overall operations, strategy, and growth of a wealth management firm or division. They manage teams of financial advisors, ensure compliance with regulations, and develop business strategies to attract and retain clients. Managing Principals often play a key role in client relationship management, investment decisions, and firm leadership. Their goal is to ensure the organization delivers high-quality financial planning and investment services to clients while achieving business objectives.

What are some common challenges faced by a managing principal in wealth management, and how can they be addressed?

A Managing Principal in Wealth Management often faces challenges such as balancing client retention with business growth, staying compliant with evolving regulations, and leading diverse teams toward shared goals. Successfully addressing these challenges involves fostering strong client relationships, investing in ongoing professional development for the team, and implementing robust compliance protocols. Effective communication and strategic delegation are also crucial for managing complex client needs while ensuring the firm's long-term success.

What are the key skills and qualifications needed to thrive as a managing principal in wealth management, and why are they important?

To thrive as a Managing Principal in Wealth Management, you need deep financial expertise, strategic business acumen, and experience in client relationship management, typically supported by a bachelor's or master's degree in finance, economics, or related fields, along with relevant licenses such as the Series 7 and Series 66. Proficiency with portfolio management software, CRM platforms, and financial planning tools is essential. Outstanding leadership, communication, and problem-solving abilities help you inspire teams and build lasting client trust. These skills are crucial for driving firm growth, ensuring regulatory compliance, and delivering exceptional client outcomes in a competitive industry.

What is the difference between Managing Principal Wealth Management vs Financial Advisor?

AspectManaging Principal Wealth ManagementFinancial Advisor
CredentialsCFP, CFA, Series 7/66, CFP certification often requiredCFP, Series 7/66, sometimes less extensive certifications
Work EnvironmentLeadership role in wealth management firms, strategic planningClient-facing, providing financial planning and investment advice
Employer & IndustryWealth management firms, private banks, financial institutionsIndependent or firm-based, financial services industry

Managing Principal Wealth Management typically involves overseeing firm operations and strategic decision-making, while Financial Advisors focus on advising clients directly. Both roles require relevant certifications and operate within the financial services industry, but their responsibilities and work environments differ significantly.

What are popular job titles related to Managing Principal Wealth Management jobs?

For Managing Principal Wealth Management jobs, the most frequently searched job titles are:

Infographic showing various Managing Principal Wealth Management job openings in the United States as of September 2026, with employment types broken down into 1% As Needed, 84% Full Time, 13% Part Time, and 2% Contract. Highlights an 86% Physical, 2% Hybrid, and 12% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Supervisory Principal - Wealth Management

Highland Park, IL • On-site

Mesirow
See more jobs at Mesirowexternal

$130K - $185K/yr

Full-time

Posted 14 days ago

Key responsibilities

  • Oversee and supervise the entire Wealth Management division's activities and compliance.

  • Review new account paperwork, trade activity, and compliance reports to ensure suitability, appropriateness, and regulatory adherence.

  • Collaborate with Legal/Compliance and Middle Office teams to address compliance issues and improve operational procedures.

Job description

The Company:
Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal, custom approach to reaching financial goals and acting as a force for social good. With capabilities spanning Private Capital & Currency, Capital Markets & Investment Banking, and Advisory Services, we invest in what matters: our clients, our communities and our culture. We are proud of our employee-owned culture, built on collaboration and shared success, empowering our professionals to develop meaningful relationships, pursue growth opportunities and make a lasting impact for our clients and communities. Mesirow has been named one of the Best Places to Work in Chicago by Crain's Chicago Business multiple times and is one of Barron's Top 100 RIA firms.
Our advisors provide investment and fiduciary services to individuals, families, corporations, and non-profit organizations. With over $14B in assets under management, we have earned a reputation for effectively managing our clients' needs and goals. Wealth management has been Mesirow's flagship business for over 80 years, built around our trusted advisors who have an average tenure at the firm of over 20 years.
The Opportunity:
Supporting the Wealth Management division and working primarily in the Highland Park office, this individual will report directly to the Chief Operating Officer and assist with day-to-day regulatory compliance responsibilities relating to required daily supervision of all Wealth Advisor teams. Tasks include new accounts approvals, trade execution monitoring, advertising review and internal reviews/inquiries.
Responsibilities:
  • Responsible for oversight and supervision across the entire Wealth Management division
  • Reviewing new account paperwork and other standard account requests for suitability, appropriateness and completeness, and providing supervisory Principal approval for processing.
  • Developing procedures and working guides for operational processes, including paperwork requirements, for Wealth Advisors to utilize as a reference
  • Monitoring and reviewing daily trading activity
  • Reviewing pre-trade and post-trade compliance exception reporting, inquiring where appropriate, and maintaining evidence of such review
  • Reviewing email correspondence for conflicts of interest or prohibited behavior
  • Acting as liaison to Middle Office to ensure efficiencies, working to improve operational procedures
  • Maintaining working knowledge of Fidelity (NFS) and Schwab policies affecting Wealth Advisors workflow and communicating such policies to the Wealth Advisors business
  • Corresponding and collaborating with Legal/Compliance Department members regarding various compliance inquiries, including AML, suitability, and other compliance issues
  • Reviewing and providing pre-approval for employee personal financial transactions, working to identify any conflicts of interest
  • Reviewing advertising and client presentation material for compliance with applicable rules and regulations

Requirements:
  • Bachelor's degree in Finance or related discipline (strongly preferred)
  • A minimum of 10 years supervisory experience
  • FINRA Series 4, 7, 66 and 24 licensed
  • Strong working knowledge of SEC and FINRA regulations and the ability to interpret and apply regulatory requirements effectively
  • Proficient in FIS Protegent, RedOak and Star Compliance
  • Exceptional oral and written communication skills
  • Superb investigative abilities and capacity to research issues
  • Strong process documentation and reporting capabilities
  • Self-motivated and self-directed
  • Strong cross-functional team participant and collaborative approach to problem solving
  • Capable of prioritizing and managing multiple tasks in a fast-paced environment
  • Professional, with a high-level of integrity and ability to maintain confidentiality
  • Advanced proficiency with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications

In accordance with the Illinois Pay Transparency Law, the anticipated hiring base salary for the role will be between $130,000 and $185,000 per year. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, also provides the opportunity for a commission and discretionary performance bonus and the Mesirow benefit program.
EOE
Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

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