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Supervisory Principal Jobs (NOW HIRING)

Corebridge Financial

Supervisory Principal

Houston, TX · On-site

Who We Are At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action ...

Corebridgefinancial

Supervisory Principal

Houston, TX · Hybrid

Who We Are At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action ...

Citigroup, Inc.

Supervisory Principal VP

Miami, FL · On-site

$107K - $160K/yr

Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may include but is not limited to email surveillance, correspondence ...

lincoln

Supervising Principal

Fort Washington, PA · On-site

The primary responsibility of the Supervising Principal is to serve as the Designated Supervisor ... Contribute to the update of procedural manuals or written supervisory procedures as needed ...

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Supervisory Principal information

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$36.5K

$109.4K

$182K

How much do supervisory principal jobs pay per year?

As of Aug 22, 2026, the average yearly pay for supervisory 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 is a supervisory principal?

A Supervisory Principal is responsible for overseeing financial advisors and ensuring compliance with industry regulations and firm policies. They perform trade reviews, monitor communications, and provide guidance to maintain ethical and legal standards. This role helps mitigate risks and ensures adherence to FINRA and SEC rules.

What are the key skills and qualifications needed to thrive as a supervisory principal?

To thrive as a Supervisory Principal, you need deep knowledge of compliance regulations, excellent analytical skills, and strong experience in the financial services industry—often supported by required FINRA licenses such as Series 24. Expertise in using compliance monitoring systems, reporting platforms, and risk management tools is essential. Outstanding leadership, communication, and decision-making abilities are the soft skills that set top candidates apart in this role. These competencies ensure the effective oversight of financial advisors, maintain regulatory adherence, and protect both the firm and its clients.

What are the most common challenges faced by supervisory principals in financial firms?

Supervisory Principals often encounter challenges in keeping up with ever-evolving regulations, balancing multiple supervisory responsibilities, and ensuring consistent compliance across diverse teams. They must adapt quickly to changing industry standards, provide ongoing training to staff, and identify potential risks before they escalate. Strong organizational skills and attention to detail help Supervisory Principals maintain high standards of compliance while managing complex workflows. Successfully navigating these challenges is vital not only for regulatory purposes but also for upholding the integrity and reputation of the organization.

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Supervisory Principal jobs near you
Infographic showing various Supervisory Principal job openings in the United States as of August 2026, with employment types broken down into 50% Full Time, and 50% Part Time. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Supervisory Principal

Cambridge Investment Research, Inc.

Fairfield, IA • On-site

Full-time

This job post has expired 1 day ago. Applications are no longer accepted.

Job description

Job SummaryKey Deliverables and Responsibilities

Cambridge is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.

Key Responsibilities:

  • Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.

  • Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.

  • Provide review and oversight of OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.

  • Use the firm's compliance engine, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.

  • Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.

  • Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.

  • Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.

  • Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.

What We Are Looking For

Location: Phoenix, AZ or Fairfield, IA - hybrid attendance (in-office 3 days/week)

A strong Principal investigates rather than simply processes. They ask thoughtful questions such as, "What am I missing?", "Does this make sense?", "What is the client's objective?", and "Is there a pattern here?" They are willing to go where the work is, navigate available resources, make difficult decisions when they are the right decisions, and escalate concerns appropriately.

Education and Experience:

  • 2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.

Licensing:

FINRA Series 7 and Series 24 licenses are required.

Company Overview:

At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values-integrity, commitment, flexibility, and kindness-we put financial advisors first in every decision we make.

Cambridge is an internally controlled, growth-focused independent broker-dealer, ranked among the largest and fastest-growing firms in the industry. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.

Our community of over 4,000 producing financial advisors includes diverse business models-RIA, corporate RIA, hybrid, fee-only, and brokerage-and offers a broad selection of investment solutions with no proprietary products.

For further information about Cambridge, please visit https://www.joincambridge.com/

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