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Suitability Principal Jobs (NOW HIRING)

Osaic

Sales Supervision Principal

La Vista, NE · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Atlanta, GA · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Saint Petersburg, FL · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Scottsdale, AZ · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Atlanta, GA · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Osaic

Sales Supervision Principal

Oakdale, MN · Hybrid

$65K - $75K/yr

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA ...

Devereux

Principal

Red Hook, NY · On-site

$97K - $104K/yr

They will consult with all departments to analyze the suitability of the educational program for ... The Principal will attend scheduled case reviews or treatment team meetings as needed in order to ...

LPL Financial

Supervisory Principal

Tempe, AZ · On-site +1

$62K - $104K/yr

Suitability review and approval of transactions in certain product specific areas such as ... Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant ...

Devereux

Principal

Red Hook, NY · On-site

$97K - $104K/yr

They will consult with all departments to analyze the suitability of the educational program for ... The Principal will attend scheduled case reviews or treatment team meetings as needed in order to ...

Devereux

Principal

Red Hook, NY · On-site

$97K - $104K/yr

They will consult with all departments to analyze the suitability of the educational program for ... The Principal will attend scheduled case reviews or treatment team meetings as needed in order to ...

Sunbelt Solomon

Principal Engineer

Solomon, KS · On-site

Description The Principal Engineer role offers the opportunity to lead complex transformer design ... Review and approve new vendors based on technical suitability and product quality. * Provide ...

Mutual of Omaha

Regional Supervisory Principal

Omaha, NE · On-site +1

$75K - $100K/yr

... ensure suitability, compliance, and firm standards. * Monitor supervisory reports, investigate ... principal registration, and bonding. * Strong working knowledge of FINRA, SEC, and MSRB rules, with ...

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Suitability Principal information

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$36.5K

$109.4K

$182K

How much do suitability principal jobs pay per year?

As of Jul 15, 2026, the average yearly pay for suitability 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 common challenges faced by a Suitability Principal, and how can they be effectively managed?

A Suitability Principal often faces the challenge of balancing regulatory compliance with business objectives, especially when assessing complex or borderline cases. Staying up-to-date with evolving regulations and ensuring that all representatives adhere to suitability standards can also be demanding. Effective management includes establishing robust review processes, maintaining open communication with compliance teams, and providing regular training for staff. Proactive monitoring and fostering a culture of compliance help mitigate risks and support the firm's reputation.

What is the difference between Suitability Principal vs Compliance Officer?

AspectSuitability PrincipalCompliance Officer
Required CredentialsFinancial licenses, certifications (e.g., Series 7, 66)Regulatory certifications, compliance training
Work EnvironmentFinancial firms, investment advisory firmsFinancial institutions, regulatory agencies
Employer & Industry UsageUsed in finance and investment sectorsUsed across financial and regulatory sectors
Common Search & ComparisonOften compared for roles ensuring suitability of financial productsCompared for roles overseeing regulatory compliance

The Suitability Principal primarily focuses on assessing whether financial products are appropriate for clients, ensuring suitability and compliance with regulations. The Compliance Officer, on the other hand, oversees adherence to all regulatory requirements within an organization. While both roles require regulatory knowledge and certifications, the Suitability Principal emphasizes client suitability, whereas the Compliance Officer ensures overall regulatory compliance across operations.

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

To thrive as a Suitability Principal, you need comprehensive knowledge of financial regulations, investment products, and suitability standards, often supported by FINRA Series 7, 24, and 53 licenses. Familiarity with compliance management systems, surveillance tools, and documentation platforms is essential for monitoring and reviewing transactions. Strong analytical thinking, attention to detail, and effective communication are crucial soft skills for interpreting regulations and guiding advisors. These competencies help ensure regulatory compliance, protect clients, and maintain firm integrity in the financial industry.

What is a Suitability Principal?

A Suitability Principal is a compliance professional in the financial services industry responsible for ensuring that investment recommendations made by financial advisors are appropriate for clients based on their financial situation, objectives, and risk tolerance. This role typically involves reviewing client accounts, transaction activities, and documentation to ensure adherence to regulatory requirements and firm policies. The Suitability Principal helps protect both the firm and its clients by identifying and addressing any unsuitable investment recommendations before they are executed.
More about Suitability Principal jobs
What cities are hiring for Suitability Principal jobs? Cities with the most Suitability Principal job openings:
What states have the most Suitability Principal jobs? States with the most job openings for Suitability Principal jobs include:
What job categories do people searching Suitability Principal jobs look for? The top searched job categories for Suitability Principal jobs are:
Suitability Principal jobs near you
Infographic showing various Suitability Principal job openings in the United States as of July 2026, with employment types broken down into 89% Full Time, 9% Part Time, 1% Temporary, and 1% Contract. Highlights an 95% Physical, 1% Hybrid, and 4% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Trade Review Principal

Trade Review Principal

Integrity Marketing Group

Urbandale, IA • On-site

Full-time

Re-posted 16 days ago

Integrity Marketing Group rating

7.5

Company rating: 7.5 out of 10

Based on 33 frontline employees who took The Breakroom Quiz

17th of 48 rated marketing agency

Job description

Job Summary
In this role you will have supervisory responsibility of registered representatives and investment advisory representatives. The Trade Review Principal (TRP) will need extensive industry knowledge and operational experience related to suitability and trade review along with time management and organizational skills.
In this role you will:
  • Provide Principal review and approval of transactions while working within firm's established suitability guidelines and time frames. Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments (REITs and DPPs), advisory and brokerage transactions.
  • Reviewing brokerage and advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
  • Conduct customer account reviews to detect potential sales abuses.
  • Maintain product knowledge
  • Provide education and training to representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
  • Notifying advisors when a transaction conflicts with a client's investment profile, a company policy, or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
  • Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
  • Developing process improvement recommendations to enhance department workflow.
  • Perform other duties as assigned to support the needs of the team.

Desired Qualifications:
  • Bachelor's degree (BA/BS) from 4-year college or university or two to four years related experience and/or training; or equivalent combination of education and experience.
  • 4-6 years in roles within financial services, preferably with exposure to trade review and compliance.
  • FINRA Series 6/7 and 24/26 are required. Series 4, 53, and 65/66 required within 6 months. Insurance and securities license(s) in state(s) of operation for life, health, and variable annuity may be required.

About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

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