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Supervisory Principal Jobs (NOW HIRING)

LPL Financial

Supervisory Principal

Tempe, AZ · On-site +1

$62K - $104K/yr

The Supervisory Principal, as part of the Complex Product Supervision Specialized Services within our Supervision division, will be responsible for serving as a subject matter expert for LPL ...

Mutual of Omaha

Regional Supervisory Principal

Torrance, CA · On-site +1

$75K - $100K/yr

Monitor supervisory reports, investigate exceptions and audit findings, and take appropriate ... principal registration, and bonding. * Strong working knowledge of FINRA, SEC, and MSRB rules, with ...

TIAA

Regional Supervisory Principal

New York, NY · On-site

$69K - $101K/yr

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and ...

TIAA

Regional Supervisory Principal

Charlotte, NC · On-site

$69K - $101K/yr

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and ...

Mutual of Omaha

Regional Supervisory Principal

Omaha, NE · On-site +1

$75K - $100K/yr

Regional Supervisory Principal Apply now Job no: 504605 Work type: Full Time Regular Location: Hybrid, Arizona, California, Colorado, Florida, Indiana, Iowa, Kansas, Minnesota, Missouri, Nebraska ...

TIAA

Regional Supervisory Principal

Latham, NY · On-site

$69K - $101K/yr

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and ...

TIAA

Regional Supervisory Principal

Charlotte, NC

$69K - $101K/yr

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and ...

TIAA

Regional Supervisory Principal

Amherst, NY · On-site

$69K - $101K/yr

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and ...

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All JobsSupervisory Principal Jobs

Supervisory Principal information

See salary details

$36.5K

$109.4K

$182K

How much do supervisory principal jobs pay per year?

As of Jun 14, 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 job?

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 in the Supervisory Principal position, and why are they important?

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.

More about Supervisory Principal jobs
What cities are hiring for Supervisory Principal jobs? Cities with the most Supervisory Principal job openings:
What are the most commonly searched types of Supervisory Principal jobs? The most popular types of Supervisory Principal jobs are:
What states have the most Supervisory Principal jobs? States with the most job openings for Supervisory Principal jobs include:
What job categories do people searching Supervisory Principal jobs look for? The top searched job categories for Supervisory Principal jobs are:
Supervisory Principal jobs near you
Infographic showing various Supervisory Principal job openings in the United States as of June 2026, with employment types broken down into 67% Full Time, and 33% 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

Supervisory Principal

BOK Financial

Oklahoma City, OK

Other

Posted 3 days ago

Job description

Req ID: 78170 

Location: Oklahoma City -OKC 

Areas of Interest: Brokerage Services; Risk Management, Compliance; Wealth Management 

Pay Transparency Salary Range: Not Available 

Application Deadline: 07/15/2026

BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc. BOKF, NA operates banking divisions: Bank of Albuquerque; Bank of Oklahoma; Bank of Texas and BOK Financial.

Bonus Type
Discretionary
Summary

We're building a culture at BOK Financial where amazing people (like you) can bring their best, be their best and work for the best. You've come to the right place to grow your career.

Job Description

The Supervisory Principal is responsible for supervising the sales activities of advisors as assigned. Other responsibilities include regular communication with advisors and sales managers regarding compliance regulations and serving as a subject matter expert on compliance questions and issues related to supervision and OSJ responsibilities.  Educating advisors and administrative staff on supervisory procedures will also be an important part of this role's responsibilities.   

Team Culture

We act as trusted advisors for our clients and communities while using our disciplined approach and business savvy to make the right decisions. We are inspired by our team's entrepreneurial spirit.

We act with honor and truthfulness. Our foundation of integrity builds coworker trust, relationships, and effective interpersonal relationships. We live our company values every day.

How You'll Spend Your Time
  • You will review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases
  • You'll develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required
  • You will participate in day to day supervision of special projects, procedures and reviews requested by the Manager of Supervision
  • You will be required to have a working knowledge of securities regulations (FINRA, MSRB, and SEC)
  • You will have decision making skills and be an active partner in any conflict management
  • You will assist in the implementation of any new Compliance Alerts as needed
  • You will provide ongoing supervision review detail and support for the management of BOSC, Inc.
Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor's degree, professional certification/licensing in securities and 5+ years of experience in supervision or 9-11 years of equivalent work related experience in a broker/dealer or Office of Supervisory Jurisdiction location. 

Required Professional Licenses:  FINRA Series 7, 24

Preferred Licenses:  Series 65 or 66, Series 53 (or their equivalent).  Series 53 may be offered as a 90 day condition of employment. 

  • Supervision or compliance experience in an Office of Supervisory Jurisdiction or Broker/Dealer in a senior role
  • Thorough understanding of securities products, including annuities (variable, fixed, group and equity indexed), non-traditional alternative and illiquid products, and managed account programs
  • Working knowledge of securities regulations (FINRA, MSRB, and SEC)
  • Conflict management and decision making skills
  • Excellent oral and written communication skills
  • Excellent PC skills including Microsoft Office (Word and Excel)
  • Strong quantitative and analytical skills (statistics, database management, mathematical relationships, and logic)
Working Conditions & Physical Requirements
Office

BOK Financial Corporation Group is a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees. With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career!  
Apply today and take the first step towards your next career opportunity!
The companies in BOK Financial Corporation Group are equal opportunity employers.  We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, pregnancy status, sexual orientation, genetic information or veteran status.

Please contact recruiting_coordinators@bokf.com with any questions. 

Apply