Quality Management Supervision Princiipal
Job Title: Supervision Principal – Quality Management
Location: Hybrid (Tuesday–Thursday in office), Dallas-Fort Worth
Responsibilities:
Lead and guide escalated matters involving early dispute resolution, complaints, privacy incidents, data loss, regulatory inquiries, and more
Serve as a Series 24 Registered Principal, reviewing and approving client-facing communications
Act as a senior member and team lead of the Quality Management Team, mentoring staff and managing workflow
Respond to regulatory bodies including FINRA, SEC, and state insurance departments
Manage privacy/security incident responses in collaboration with legal and IT security leadership
Conduct internal investigations regarding advisor or client-related concerns
Improve internal policies and training based on regulatory updates and risk mitigation strategies
Train and support Financial Advisors and internal teams across compliance topics
Provide support on escalated financial, insurance, and banking operational issues
Requirements:
7+ years of experience in the financial services industry
4+ years in broker-dealer or investment adviser compliance/legal departments
Strong knowledge of FINRA, SEC, and related regulatory guidelines
Active Series 24 license is required
Series 7, 63, and 65 (or 66) required or ability to obtain within 90–120 days
Group 1 Insurance License or ability to obtain within 90–120 days
Excellent communication and judgment skills
Experience with CRM tools, compliance systems, and case management software
Strong sense of urgency, discretion, and leadership
Compensation & Benefits:
Salary: $80,000–$100,000 base plus 7% bonus potential
Schedule: Hybrid (in-office Tuesday–Thursday)
Benefits: Comprehensive benefits package, flexible hours, on-site gym, and more
Employment Type: Direct Hire
If you are an experienced Supervision Principal with a passion for resolution, compliance, and client experience—we want to talk to you.
Send your resume to Allison Harrison at allisonh@cornerstonestaffing.com
Call 817-635-0500 ext. 162 for immediate consideration.