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International Banking Client

VP – Supervisory Principal

  • New York, NY
  • Full Time

Apply for the VP – Supervisory Principal position

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Office Status: Hybrid (3 days per week in office)

Salary: $90,000 – $130,000


  • Branch Office point of contact to help build compliant business partnerships
  • Conduct suitability/best interest reviews of recommended transactions
  • Monitor supervisory systems related to personal trading accounts; employee gifts, received and given; political contributions; electronic communications
  • Review and maintain registered representative files, including Form U4, pre-dispute arbitration forms, fingerprint cards and other onboarding documents
  • Work closely with the Registration Coordinator to ensure proper CRD Administration and RR onboarding.
  • Administer registered personnel periodic attestations including but not limited to written supervisory procedures, customer complaints and AML
  • Ensure registered personnel disclosures are up-to-date and on file, including personal trading files, outside business activity files, and private securities transactions
  • Assist in the implementation and maintenance of Written Supervisory Procedures and help ensure the firm’s adherence
  • Review certain FINRA Report Cards to help monitor compliance with regulatory requirements