This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Regional Supervisory Principal based in the United States.
This role sits at the intersection of regulatory oversight, advisor support, and field supervision within a fast-moving financial services environment. The position is responsible for ensuring that advisors and OSJ managers within a defined region operate in full alignment with regulatory standards, internal policies, and industry best practices. Acting as a senior point of escalation, this leader resolves complex supervisory issues while maintaining strong, trust-based relationships with advisors and branch leadership. The role blends compliance rigor with a consultative approach, guiding field teams through evolving FINRA and SEC expectations. It operates in a collaborative, high-accountability setting where risk management, advisor experience, and business enablement must stay tightly balanced. This is a highly visible position with direct influence on regulatory integrity and advisor success across the region.
How Jobgether works:
We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.
We appreciate your interest and wish you the best!
Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.
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