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Registered Principal Jobs (NOW HIRING)

Robinhood

Compliance Communications Team Lead

Chicago, IL · On-site

$161K/yr

Experience as a registered principal reviewing and approving communications with the public (CwP), especially high-risk topics like options, margin, and promotions. * Prior experience leading or ...

Access Holdings

Principal, Capital Markets

New York, NY · On-site

... registered broker-dealer anticipated to receive FINRA approval in July 2026. AHCM will serve as a ... The Principal reports to Chris Blackwell, Partner and Head of AHCM. In addition to broker-dealer ...

HDR

Principal, Interiors

New York, NY · On-site

A Principal upholds the highest standards of design excellence and innovation, with an ... Active Interior Design Certificate holder or Registered Architect in the country you reside * A ...

HDR

Principal, Interiors

New York, NY · On-site

A Principal upholds the highest standards of design excellence and innovation, with an ... Active Interior Design Certificate holder or Registered Architect in the country you reside * A ...

Pfluger Architects

Managing Principal

Austin, TX · On-site

Licensed/Registered Architect is required. * Minimum of 15 years of relevant experience. Location: The Managing Principal is expected to commute 3 days per week to Pfluger's local office and travel ...

HDR

Associate Health Principal

Charleston, SC · On-site

In the role of Associate Health Principal, you will help guide the overall direction of the Health ... Registered Architect * Must be able to lead a team on projects * Experience with Microsoft Office ...

HDR

Associate Health Principal

Charleston, SC · On-site

In the role of Associate Health Principal, you will help guide the overall direction of the Health ... Registered Architect * Must be able to lead a team on projects * Experience with Microsoft Office ...

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Registered Principal information

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$36.5K

$109.4K

$182K

How much do registered principal jobs pay per year?

As of Jun 8, 2026, the average yearly pay for registered 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 are some of the primary challenges Registered Principals face in overseeing compliance within a financial advisory firm?

Registered Principals often encounter challenges such as keeping up with evolving regulatory requirements, ensuring all registered representatives adhere to firm policies, and conducting thorough supervision of client transactions. Balancing a heavy compliance workload with day-to-day operations can be demanding, particularly in larger firms or during audit cycles. Successful Registered Principals frequently collaborate with compliance departments, provide ongoing training to advisors, and leverage technology to streamline monitoring and reporting tasks.

What are the key skills and qualifications needed to thrive as a Registered Principal, and why are they important?

To thrive as a Registered Principal, you need a deep understanding of securities regulations, compliance procedures, and supervisory practices, typically supported by FINRA Series 24 and other relevant licenses. Familiarity with compliance monitoring systems, trade surveillance software, and regulatory reporting tools is essential. Strong analytical skills, attention to detail, integrity, and clear communication are vital soft skills for ensuring adherence to industry standards and leading teams. These competencies are crucial for maintaining regulatory compliance, minimizing risk, and upholding the firm’s reputation in the financial industry.

What is the difference between Registered Principal vs Registered Representative?

AspectRegistered PrincipalRegistered Representative
CredentialsMust hold necessary licenses and pass qualification exams; responsible for supervising representativesMust hold licenses and pass exams; authorized to sell securities
Work EnvironmentOversees and supervises brokerage activities, compliance, and staffEngages directly with clients, sells securities, and provides investment advice
Employer & Industry UsageTypically employed by broker-dealers, investment firms, or financial institutionsWorks under a Registered Principal, often as a financial advisor or broker

In summary, a Registered Principal is responsible for supervising and overseeing the activities of Registered Representatives, ensuring compliance and regulatory adherence. Meanwhile, a Registered Representative actively engages in client interactions and securities transactions. Both roles require licensing, but the Principal holds additional supervisory responsibilities within the industry.

What are Registered Principals?

Registered Principals are licensed professionals in the financial services industry who oversee and supervise the work of brokers and other registered representatives within a firm. They ensure compliance with industry regulations, such as those set by FINRA and the SEC, and are responsible for approving new accounts, transactions, and marketing materials. Registered Principals play a key role in maintaining ethical standards and protecting clients by monitoring firm activities and providing ongoing training to staff. To become a Registered Principal, individuals must pass specific qualification exams, such as the FINRA Series 24.
More about Registered Principal jobs
What cities are hiring for Registered Principal jobs? Cities with the most Registered Principal job openings:
What are the most commonly searched types of Registered Principal jobs? The most popular types of Registered Principal jobs are:
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Registered Principal jobs near you
Infographic showing various Registered Principal job openings in the United States as of May 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Supervision and Communications Principal

Supervision and Communications Principal

First Command Financial Services, Inc.

Fort Worth, TX • On-site

Full-time

Posted 23 days ago

First Command Financial Services rating

7.5

Company rating: 7.5 out of 10

Based on 11 frontline employees who took The Breakroom Quiz

Job description

Job Description
How will this role impact First Command?
The Supervision and Communications Principal is responsible for monitoring and reviewing marketing materials, social media activity, digital communications, and online conduct. The Supervision and Communications Principal is responsible for ensuring that activity conforms to the First Command brand and adheres to the firm's guidelines, FINRA, SEC, and state and federally mandated rules and regulations.
What will you do in this role?
  • Conducts supervisory and compliance duties including regularly monitoring and reviewing First Command digital communications and branded social media sites through ongoing supervision of registered representatives' social media presence to support reputation and compliant management processes.
  • Collaborates with the Associate Director, Marketing Principal, and members of the Legal and Compliance teams to carry-out and continuously improve upon the processes and procedures related to marketing, social media and digital communications.
  • Diplomatically communicates concerns, proactively assists in correcting materials and communications to make them compliant within regulatory standards and internal policies.
  • Utilizes and maintains the Social Media, Digital Communications, and Website Surveillance Solution including:
    • Reviews and approves social media profiles for First Command business purposes.
    • Responsible for decommissioning of participants when the business need no longer exists.
    • Works with personnel to identify any exception and come up with the right course of action to remediate/resolve.
  • Conducts expeditious and effective review of internal and external content for brand, reputation, and regulatory compliance.
  • Provides principal review and approval of one-time-use items submitted by Advisors and/or their staff members.
  • Principal supervisory review of electronic communications to ensure compliance with all applicable regulations, as well as company policies and procedures. Provide support for internal and external audit requests as needed.
  • Provide field force support through training and education on topics such as: regulatory, firm policies and procedures, and licensing issues.
  • Daily monitoring of Salesforce cases and respond as needed.
  • Identify and recommend ideas for process and procedure improvements.
  • Be a thought leader through the ability to build and maintain productive working relationships with personnel across the organization.
  • Encourages an atmosphere of service, trust and teamwork between the Supervision Team, field force and with internal business partners using effective communication skills.
  • Assists with tasks and projects and other duties as required.

What skills & qualifications do you need?
Education
  • Bachelor's Degree required in a related field (industry experience may be considered)

Work Experience
  • 3-5 years of experience in the following areas:
    • FINRA and SEC compliance
    • Supervision of digital communications, social media, marketing, and advertising
    • Supervision of registered personnel.
  • Experience as a Financial Advisor preferred.

Certifications
  • Must possess FINRA Series 7, 24 and 66 licenses or be able to obtain within 90 days post-hire.
  • Must have appropriate Life and Health Agent license or be able to obtain within 90 days post-hire.

Required Knowledge, Skills and Abilities
  • Ability to be an initiative-taker and work independently.
  • Strong decision-making ability and attention to detail.
  • Outstanding time management and organizational skills. Ability to operate in a fast-paced environment and must have the ability to make decisions based on sound business judgment with information at hand while quickly adapting to new circumstances presented.
  • Conflict resolution skills.
  • Must have detailed knowledge of the Written Supervisory Procedures (WSP) and the Compliance Manual (CM).
  • Must exhibit the ability to execute at a high level with excellent quality and contribute to a high-performance team.
  • Must exhibit strong analytical written and verbal communication skills for resolving problems.
  • Must encourage an atmosphere of service, trust, openness, communication, and an attitude of working together to achieve mutual objectives.
  • Intellectually curious and will model a culture of continuous learning, mentoring and coaching while encouraging an agile way of working.

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What First Command Financial Services employees say

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Get the full story on Breakroom

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About First Command Financial Services

Sourced by ZipRecruiter

First Command Financial Services, based in Fort Worth, TX, US, operates within the financial services industry. Established in 1958, this company's mission is to "coach those who serve in their pursuit of financial security." With its suite of services and products, including investment management and financial planning, the firm is dedicated to helping military families and federal employees achieve financial security. Over the years, First Command has made a name for itself through integrity, commitment, and an approach built upon trust, resulting in substantial client loyalty. Featured among its notable achievements is the company's consistent placement among the top 1% of all wealth management firms in the USA in terms of long-term investment results, confirming their commitment to providing exceptional financial services.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Fort Worth, TX, US

Year founded

1958

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