Compliance Principal

Mutual Group

. Review surveillance reports and trade alerts for client and employee accounts .

Posted 11/9/2026full-timeRemote • United StatesLead💰 $70,000 - $110,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive compliance expertise with a focus on broker-dealer and RIA regulations, including AML and CIP requirements. Proficient in conducting investigations, managing compliance workflows, and preparing for regulatory examinations.

Highest-signal resume keywords

Broker-Dealer Compliance ExperienceActive Series 7, 24, And 63 LicensesKnowledge Of SEC And FINRA RulesSurveillance Platforms ExperienceProficiency In Microsoft Excel And SharePoint

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Metrics ProductionInvestigative SkillsAnalytical SkillsWriting SkillsTransaction ApprovalRisk MonitoringDue DiligenceRegulatory Examination SupportBranch Examination ExperienceInsurance And Annuity Review

Soft Skills

Ability To Manage Multiple DeadlinesStrong Communication SkillsProblem-Solving Skills

Tools & Technologies

Surveillance PlatformsCompliance Workflow ToolsMicrosoft ExcelSharePoint

Certifications & Qualifications

Series 7 LicenseSeries 24 LicenseSeries 63 LicenseSeries 53 LicenseSeries 51 LicenseSeries 66 License

Industry Keywords

AML RequirementsCIP RequirementsSuitability StandardsRegulation Best InterestCompliance Case QueueClient InquiriesAdvertising ReviewCorrespondence Review

About the role

Key responsibilities & impact

Review surveillance reports and trade alerts for client and employee accounts
Resolve sales practice concerns within the expected service level
Perform secondary reviews of high-risk accounts and complex transactions
Approve transactions requiring principal review
Investigate issues, document findings, and drive corrective actions with advisors and business units
Review insurance and annuity recommendations and transactions for suitability and supervisory requirements
Escalate exceptions and work with advisors and internal teams to resolve them
Run AML and CIP monitoring, conduct investigations and due diligence, and document outcomes
Recommend enhancements to AML and CIP procedures as rules and risks change
Monitor portfolios for concentration, suitability, and portfolio management risks
Produce compliance metrics and trend analyses and propose improvements
Work the Compliance case queue and handle advisor and client inquiries
Compile data and exhibits for regulatory examinations, inquiries, and internal reviews
Help draft responses as directed
Create and deliver targeted training and job aids as rules evolve
Provide backup coverage for advertising and correspondence review, branch examinations, and regulatory filings

Requirements

What you’ll need

Bachelor's degree in business, finance, or a related field, or equivalent industry experience
Five (5) or more years of broker-dealer or RIA compliance experience, including principal-level review and approval
Active Series 7, 24, and 63 licenses
Working knowledge of SEC and FINRA rules, AML and CIP requirements, and suitability and Regulation Best Interest standards
Experience with surveillance platforms and compliance workflow tools
Proficiency in Microsoft Excel and SharePoint
Strong investigative, analytical, and writing skills
Ability to document a decision so it holds up in an examination
Ability to manage multiple deadlines in a fast-paced, distributed environment
Series 53 or 51 and Series 66 licenses strongly preferred
Experience supporting FINRA or SEC examinations, including compiling exhibits and drafting responses
Experience reviewing insurance and annuity transactions for suitability
Experience conducting branch examinations and reviewing advertising and correspondence
Submit a current resume and a brief cover letter describing interest and relevant broker-dealer or RIA compliance experience

Benefits

Comp & perks

Comprehensive medical, dental, and vision coverage
401(k) participation with company match
Paid time off and paid holidays
Eligibility for discretionary performance-based bonus
Wellness initiatives
Opportunities for continuous learning and professional development in a supportive team