Supervisory Principal

3 days ago


Miami, United States Citi Full time

We are seeking a highly skilled Supervisory Principal to lead our client's team in the implementation of the broker dealer home office OSJ direct model. This role requires a strong understanding of Series 7 and 24 regulations, as well as fluency in English and Spanish.

Key Responsibilities:

  • Act as a liaison between transitioning practices and the broker dealer home office OSJ direct model.
  • Collaborate with broker dealer OSJs to share best practices associated with the home office OSJ direct model.
  • Coordinate FINRA filings with the compliance team.
  • Review securities transactions on the electronic trade blotter, including equities, fixed income, mutual funds, UITs, municipal securities, and 529.
  • Report quarterly risk assessments to senior management and propose new policies or procedures regarding risk.
  • Perform reviews of client accounts and documents, and help resolve client complaints.
  • Assist with regulatory exams and requests, and maintain the department's written supervisory procedures.
  • Handle registration issues.
  • Lead and/or participate on project teams to upgrade/ implement new regulatory related systems and special projects as needed.
  • Oversee and support recruited branch offices throughout the United States and US Territories, reporting to the broker dealer's home office OSJ direct recruited model.

Qualifications:


•FINRA Series 7, 24


•Bachelor's/University degree or equivalent experience



  • miami, United States Citi Full time

    We are seeking a Supervisory Principal to join our client's team! This role requires a Series 7 and 24, and fluency in English and Spanish.ResponsibilitiesAct as a liaison for transitioning practices to the broker dealer home office OSJ direct modelCollaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct...


  • Miami, United States Leeds Professional Resources Full time

    We are seeking a Supervisory Principal to join our client's team! This role requires a series 7 and 24 and fluency in English and Spanish. ResponsibilitiesAct as a liaison for transitioning practices to the broker dealer home office OSJ direct modelCollaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct...

  • Supervisory Principal

    1 month ago


    Miami, United States Citi Full time

    We are seeking a Supervisory Principal to join our client's team! This role requires a Series 7 and 24, and fluency in English and Spanish.ResponsibilitiesAct as a liaison for transitioning practices to the broker dealer home office OSJ direct modelCollaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct...

  • Assistant Principal

    4 days ago


    Miami, Florida, United States ALS Education LLC Full time

    Job SummaryThe Assistant Principal will oversee the academic progress of students, maintain a positive school climate, and ensure effective instruction delivery. This role requires strong leadership and communication skills, as well as the ability to analyze data and drive program improvement.Key ResponsibilitiesRecruit, supervise, and retain high-quality...


  • Miami, Florida, United States NextEra Energy , Inc. Full time

    Job Title: Principal Engineer Tech AppsNextEra Energy, Inc. is seeking a highly skilled Principal Engineer Tech Apps to join their team in Miami, FL. As a key member of the Grid Control Systems Department, this individual contributor role reports to a functional team within the Transmission & Substation (T&S) Grid Control Systems organization.Job Summary:The...


  • Miami, Florida, United States NextEra Full time

    Florida Power & Light Company is America's largest electric company, providing clean, affordable, and reliable electricity to more than 12 million people in Florida. We operate one of the cleanest power generation fleets in the U.S. and our reliability is among the best in the nation. Our goal is to achieve Real Zero carbon emissions from our operations...


  • Miami, Florida, United States Florida International University Full time

    About the RoleWe are seeking a highly skilled and experienced Associate Director of Development to join our team at the Moss School of Construction Management. As a key member of our development team, you will be responsible for planning and implementing a coordinated program of fundraising activities to support the school's mission and goals.Key...


  • Miami, Florida, United States Florida International University Full time

    Job SummaryWe are seeking a highly skilled and experienced Associate Director of Development to join our team at Florida International University. The successful candidate will be responsible for planning and implementing a coordinated program of fundraising activities, identifying, expanding, and cultivating relationships with prospective and existing...


  • Miami, United States AAR Full time

    Title: Program Operations ManagerLocation: United StatesJob Summary:The Program Operations Manager plays a pivotal role in overseeing the performance of customer production engagements. This position involves acting as the primary liaison for clients, ensuring optimal resource allocation, enhancing profit margins, fulfilling commitments, and surpassing...


  • Miami Beach, Florida, United States City of Miami Beach, FL Full time

    Salary: $4, $7,424.80 Biweekly Location: Miami Beach, FL Job Type: Full-time Department: Building Services Nature of Work This role involves advanced structural engineering analysis and review of building projects in accordance with local regulations. The position entails highly skilled inspections, enforcement, and supervisory responsibilities in...


  • Miami, United States CDR Maguire Inc. Full time

    CDR Labs is seeking individuals who are interested in working as a Laboratory Supervisor for our team. This position will be responsible for complex laboratory procedures and have broad decision-making authority and independence. This classification requires extensive knowledge of science, laboratory procedures, and medical terminology to perform diagnostic...

  • Warehouse Supervisor

    4 months ago


    Miami, United States CDR Companies Full time

    Job DescriptionJob DescriptionESSENTIAL FUNCTIONS:Supervises the overall warehouse operations and daily activities of staff. Oversees receiving and stowing, picking, and packing, shipping, inventory management, and documentation. Optimizes efficient layouts, workflows, and utilization of warehouse space. Monitors the safety and security of goods and...


  • Miami, United States Ardurra Group, Inc. Full time

    Ardurra is seeking a Water/Wastewater Project Manager to join our staff in Miami, FL. The project manager will supervise all team members working on the project, providing clear guidance regarding each team member technical responsibilities, budget, and schedule. The project manager also provides guidance regarding the QA/QC process for the...


  • Miami, Florida, United States Lennar Homes Full time

    Job SummaryWe are seeking a highly skilled Commercial Escrow Officer to join our team at Lennar Title. As a Commercial Escrow Officer, you will be responsible for preparing all documents associated with the processing and closing of escrow, conveyance of title, recording of documents, clearing of title requirements, and issuance of title insurance.Key...


  • miami, United States Pura Vida Miami Full time

    We are a lifestyle brand!If you are looking to join an awesome team, have a positive working environment and live a healthy and active lifestyle, we offer an exciting opportunity to join a thriving and ever-growing brand in this industry.We are on a mission to provide the world with simple, wholesome food and beverage items that fit today's lifestyle,...


  • miami, United States Pura Vida Miami Full time

    We are a lifestyle brand!If you are looking to join an awesome team, have a positive working environment and live a healthy and active lifestyle, we offer an exciting opportunity to join a thriving and ever-growing brand in this industry.We are on a mission to provide the world with simple, wholesome food and beverage items that fit today's lifestyle,...

  • Lead Service Engineer

    4 weeks ago


    Miami, Florida, United States ABB Full time

    Principal Field Service EngineerAdvance your career at ABB, where we are committed to transforming society and industry for a more efficient and sustainable future. Our focus on diversity and inclusion spans all dimensions, including gender, LGBTQ+, abilities, ethnicity, and generations. We are on a journey to embrace and celebrate individual differences...


  • Miami, United States Lennar Homes Full time

     We are Lennar TitleLennar Title is centered around personal growth, innovation, and diversity. We are looking for a new team member who shares our passion and dedication to bringing homeownership to life.At Lennar Title, you’ll build your career with a Fortune 150 company that provides an excellent work environment, plenty of opportunities for...

  • Escrow Officer

    1 month ago


    Miami, United States Lennar Homes Full time

    Escrow Officer We are Lennar TitleLennar Title is centered around personal growth, innovation, and diversity. We are looking for a new team member who shares our passion and dedication to bringing homeownership to life.At Lennar Title, you’ll build your career with a Fortune 150 company that provides an excellent work environment, plenty of opportunities...


  • Miami, United States Lennar Homes Full time

     We are Lennar TitleLennar Title is centered around personal growth, innovation, and diversity. We are looking for a new team member who shares our passion and dedication to bringing homeownership to life.At Lennar Title, you’ll build your career with a Fortune 150 company that provides an excellent work environment, plenty of opportunities for...