Job Description

CornerStone has partnered with a Financial Firm in their search for a Supervision Principal licensed in Series 24, 7, 53 and 66 licensure.  If you have the 24 license, they will accommodate additional license to be received with in the first 90 days of employment. This is a critical role for the organization,  requiring someone with real world principal experience utilizing their Series 24 license!  This role requires managing risk  through suitability reviews, evaluation of the day to day business submitted by advisors and maintaining  service level agreements! Come be in the driver's seat to a position that has A LOT to offer!

Requirements of the Supervision and Surveillance Principal
  • At least 5 years of experience in financial services
  • Bachelor's Degree required in a related field
  • FINRA Series  24 license
  • (Registered Principal experience is preferred)
  • Extensive knowledge of compliance and regulatory requirements
  • Review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include insurance, annuities, managed products, mutual funds, fixed income, and other various securities products
  • Review new accounts
  • Monitor work queues at the beginning and intra-day
  • Provide field force support through training and education
  • Timely follow up on items pending approval (NIGO) to include financial plans, investment switches, new accounts or other in-force or new business
  • Monitor, review and resolve items for attention in NETX360
  • Daily monitoring of the Supervision inbox and respond
  • Highly focused on the quality of pre and post-sale reviews with an emphasis on following documented procedures
  • Escalate items to the Supervision and Surveillance manager
  • Educate advisors on unsuitable transactions/recommendations and assist in finding alternative solutions
  • Identify and recommend ideas for process and procedure improvement
 Benefits of Supervision Principal
  • PTO (sick/vacation)
  • ESOP Contribution 
  • 2 Days Volunteer PTO
  • Tuition reimbursement
  • Covered Parking
  • Free financial planning
  • Free on-site fitness center with exercise classes. Discounted personal training and massage therapy is available
  • Free basic life, short and long term disability and an employee assistance program
  • Company contributions to a Health Savings Account for the high deductible medical plan
  • Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
  • Charitable services and volunteer opportunities
  • Year-over-year gold winner of the American Heart Association Fit Friendly company
  • Library privileges 
  • Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
  • A career development program
  • In-house training courses ranging from leadership development to basic computer skills
  • Employee recognition programs and quarterly all-employee luncheons
  • Yearly family social events
If interested, send your resume to Allison Harrison at and call 817-635-0500X162 for immediate consideration

Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!

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