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Remote General Securities Principal Jobs in Indiana

Deloitte

Manager - ServiceNow

Indianapolis, IN · On-site +1

Bachelor's degree in Computer Science, Cyber Security, Information Security, Engineering ... This compensation range is specific to Remote role and takes into account the wide range of factors ...

Naval Sea Systems Command

ENGINEER

Crane, IN · On-site +1

$125K - $192K/yr

You will serve as the principal technical authority and visionary for the development, integration ... You will be required to obtain and maintain an interim and/or final security clearance prior to ...

Naval Sea Systems Command

ENGINEER

Crane, IN · On-site +1

$125K - $192K/yr

You will serve as the principal technical authority and senior advisor on advanced antenna and ... You will be required to obtain and maintain an interim and/or final security clearance prior to ...

Ivy Tech

Benefits Assistant

Indianapolis, IN · On-site +1

$35K - $42K/yr

GENERAL PURPOSE AND SCOPE OF POSITION: Assists the Executive Director of Employee Benefits in the ... This position is remote, with the exception of coming on-site to our Systems Office located on our ...

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All JobsGeneral Securities Principal JobsRemote General Securities Principal JobsRemote General Securities Principal Jobs in Indiana

Remote General Securities Principal information

What is a Remote General Securities Principal?

A Remote General Securities Principal is a licensed financial professional who oversees compliance and supervisory functions for a broker-dealer, but works from a remote location instead of an office. They are responsible for ensuring that transactions and activities comply with regulatory requirements, such as those set by FINRA and the SEC. Their duties include supervising registered representatives, reviewing trades, and handling compliance issues, all while leveraging technology to work effectively from anywhere. This role requires a FINRA Series 24 license and often involves staying updated on industry regulations and best practices.

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

To thrive as a Remote General Securities Principal, you need a deep understanding of FINRA regulations, securities products, and supervisory procedures, typically supported by FINRA Series 24 and Series 7 licenses. Familiarity with compliance management systems, electronic surveillance platforms, and trade monitoring tools is essential. Strong analytical thinking, attention to detail, and effective remote communication skills help you excel in overseeing distributed teams and maintaining regulatory standards. These competencies are crucial to ensure firm compliance, mitigate risks, and uphold investor protection in a remote work environment.

What are some common challenges faced by remote general securities principals, and how can they be effectively managed?

Remote General Securities Principals often face challenges such as maintaining effective oversight of distributed teams, ensuring compliance with regulatory requirements, and staying updated on ever-changing industry regulations. Successfully managing these challenges requires strong communication skills, proficiency with digital compliance tools, and regular virtual training sessions. Proactively building strong relationships with team members and leveraging technology for real-time supervision can greatly enhance effectiveness in this remote role.

What is the difference between Remote General Securities Principal vs Remote Registered Representative?

AspectRemote General Securities PrincipalRemote Registered Representative
Required CredentialsFINRA Series 24, Series 7, Series 63/66, and other licensesSeries 7, Series 63/66, and state registration
Work EnvironmentSupervisory role overseeing broker-dealer activities, compliance, and operationsClient-facing role executing trades and providing investment advice
Employer & Industry UsageBroker-dealers, securities firms, compliance departmentsFinancial advisory firms, brokerage firms, securities firms

The Remote General Securities Principal primarily supervises and oversees broker-dealer activities, requiring advanced licenses like Series 24. In contrast, the Remote Registered Representative focuses on client interactions and executing trades, holding Series 7 and related licenses. Both roles are integral in securities firms but serve different functions within the industry.

What are popular job titles related to Remote General Securities Principal jobs in Indiana?

For Remote General Securities Principal jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Remote General Securities Principal jobs in Indiana look for?

The top searched job categories for Remote General Securities Principal jobs in Indiana are:

What cities in Indiana are hiring for Remote General Securities Principal jobs?

Cities in Indiana with the most Remote General Securities Principal job openings:

Remote General Securities Principal jobs near you

Assistant Section Chief - Data Privacy & ID Theft

Office of the Indiana Attorney General

Indianapolis, IN • On-site, Remote

$102K - $133K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 2 days ago

Job description

Salary: $102,911.00 - $133,785.00 Annually
Location : Indianapolis, IN
Job Type: Full-Time
Remote Employment: Flexible/Hybrid
Job Number: 202500280
Division: Consumer Protection
Section: Data Privacy & ID Theft
Opening Date: 08/04/2026
FLSA: Exempt
For more than 165 years, the Office of the Indiana Attorney General (OAG) has been committed to serving the best interests of the State and all Hoosiers. OAG employees have earned an outstanding reputation for meeting the highest professional standards, providing great service, and demonstrating courageous leadership and commitment to excellence to the people of Indiana. If you share our determination to make Indiana a better place to live and work, we invite you to join over 400 of the very best employees and seek a career with the Office of the Indiana Attorney General.
Description
Attorney responsible for the supervision of an investigations manager and one paralegal on the Data Privacy & Identity Theft Unit team . Reports to Section Chief of Data Privacy & Identity Theft.
Examples of Duties
  • Assign cases, oversee litigation strategy and otherwise supervise the prosecution of data privacy and identity theft cases.
  • Review for approval requests for settlement authority and direct negotiation. Identify suitable cases for negotiated resolution and achieve benefits for clients by resolving issues through bargaining and principled compromise.
  • Prosecute the State's interests in data privacy and identity theft cases in state and federal courts. Oversee the Unit's statistical and other reports.
  • Assist in the recruiting, interviewing, training and supervising of Unit staff. Review personnel issues. Review and approve attorney leave requests, work schedules, time sheets, travel authorizations and contract requests when the Section Chief is out of office.
  • Provide training and mentoring in conjunction with the Section Chief of Data Privacy & Identity Theft.
  • Oversee the formulation and implementation of short-term and long-term goals designed to enhance efficiency and effectiveness in coordination with the Section Chief of Data Privacy & Identity Theft. Oversee the development and implementation of policies, procedures and protocols within the Division through coordination with the Section Chief of Data Privacy & Identity Theft and Director & Chief Counsel of the Consumer Protection Division.
  • Act as a liaison with courts and their staff on questions of case management and compliance with local rules.
  • Act as a liaison with consumers, other Attorney General's Offices, federal agencies, and other involved parties in data privacy and identity theft matters.
  • Keeps supervisors and other appropriate parties informed of ongoing matters to establish cooperative working relationships based on mutual trust, communication, and understanding of goals.
  • Review pending legislation and proposed rules affecting litigation.
  • Maintain an appropriate case load in addition to administrative duties described herein.
  • Perform other legal and administrative duties as assigned at the direction of the Section Chief of Data Privacy & Identity Theft, Director & Chief Counsel of the Consumer Protection Division, Chief Deputy, or Attorney General.

Typical Skills and Qualifications
  • Prior litigation experience in state or federal courts.
  • Knowledge of privacy law, including Indiana's Disclosure of Security Breach Act, Deceptive Consumer Sales Act, and telephone privacy laws.
  • Knowledge of court procedures and policies, state statutes, legal research methods, Microsoft Word and computer equipment and software.
  • Excellent communication skills. Position requires regular communication with various stakeholders regarding relevant information necessary for determining the appropriate action.
  • Must be licensed to practice law in the State of Indiana.

The Office of the Indiana Attorney General is an Equal Opportunity Employer.
The State of Indiana offers a comprehensive benefit package for full-time employees which includes:
  • Four (4) medical plan options (including RX coverage) and vision/dental coverages
  • Wellness program - earn back dollars in the form of gift cards
  • Health savings account (includes bi-weekly state contribution)
  • Deferred compensation account (similar to 401k plan) with employer match
  • Two (2) fully-funded pension plan options
  • Group life insurance
  • Employee assistance program that allows for covered behavioral health visits
  • Paid vacation, personal and sick time off
  • Competitive leave policies covering a variety of employee needs.
  • 12 paid holidays, 14 on election years
  • New Parent Leave
  • Qualified employer for the Public Service Loan Forgiveness Program
  • Free 24/7 permit parking at an Indiana Government Center surface lot or parking garage

More information on State of Indiana Benefits can be found at

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