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Supervisory Principal Jobs (NOW HIRING)

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 ...

Mesirow Financial Holdings, Inc.

$100K - $130K/yr

Supervisory principal responsibilities for fixed income trading desk * Provide real-time compliance and regulatory guidance to traders and sales teams. * Maintain and update desk-level written ...

Td

Principal Review Analyst - Charlotte, NC

Exton, PA · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Td

Principal Review Analyst - Charlotte, NC

Vienna, VA · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Td

Principal Review Analyst - Charlotte, NC

Portland, ME · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Td

Principal Review Analyst - Charlotte, NC

Princeton, NJ · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

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Supervisory Principal information

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How much do supervisory principal jobs pay per year?

As of Sep 12, 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 September 2026, with employment types broken down into 1% As Needed, 83% Full Time, 15% Part Time, 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.

Supervisory Principal - Marketing Regulatory Review (Series 24 Required)

Fort Mill, SC • On-site

Associate Staffing
See more jobs at Associate Staffingexternal

Other

Re-posted 13 days ago

Job description

The Company:
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing:

The Supervisory Principal role is focused on ensuring marketing, advertisement, and communications materials comply with industry regulations and firm policies. This position involves reviewing marketing materials for financial advisors joining and providing guidance on compliance.
Qualifications:

  • Licenses/Certifications Required: FINRA Series 7, 24 (bonus if you have the 63 or 66) 
  • Minimum of 2 years of direct licensed experience 
  • Experience reviewing any marketing/advertising materials for advisors or an institution is required for this position
  • Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio


Equal Opportunity Employer:

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.
 

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