Home Office Principal - (Tampa, FL)

Position summary - Home Office Principal (INV000CE) Position overview Home Office Principal:-INV000CE Description Job Purpose Reviews and approves accounts and transactions for suitability and compliance with company policy and securities regulation. Researches and investigates any potential issues and communicates with registered representatives, OSJ Supervisors and regional managers regarding suitability reviews and compliance or regulatory issues associated with accounts or transactions. Essential Job qualifications & Responsibilities Reviews and approves new account applications, trade blotters, and securities, insurance or advisor ...