COMMISSION-BASED - FINRA Series 24 Principal – Flexible

Job Overview
Join our dynamic team as a Commission-Based FINRA Series 24 Principal—an exciting opportunity designed for motivated professionals eager to lead and oversee securities operations with flexibility and independence. In this role, you will leverage your extensive knowledge of securities law, financial services, and estate planning to ensure compliance, manage client relationships, and drive strategic growth. This position offers the unique advantage of a flexible schedule while empowering you to make impactful decisions in the financial industry. If you are passionate about securities regulation, financial analysis, and wealth management, this role provides an ideal platform to showcase your expertise and advance your career.

Responsibilities

• Oversee and ensure compliance with FINRA regulations and securities laws across all operational activities.
• Develop and implement policies related to securities trading, investment management, and client account management.
• Conduct thorough reviews of financial transactions, investment portfolios, and client documentation to maintain regulatory adherence.
• Provide guidance on estate planning strategies, wills, trusts, and estate law to clients seeking comprehensive wealth management solutions.
• Manage relationships with clients by offering tailored financial planning advice, cash management solutions, and asset management strategies.
• Monitor industry developments in securities law, tax regulations, and financial software tools to keep operations current and compliant.
• Lead training sessions for staff on technical accounting standards, public accounting practices, and research methodologies relevant to financial services.

Skills

• Deep understanding of estate planning, wills, trusts & estate law, and tax experience.
• Strong knowledge of securities law, financial concepts, and investment management principles.
• Proficiency in financial analysis, research techniques, and financial software applications.
• Excellent customer relationship management skills with a focus on banking and wealth management services.
• Ability to interpret complex financial data using math skills for portfolio management and cash flow analysis.
• Familiarity with accounting standards—both corporate accounting and technical accounting practices—and public accounting procedures.
• Effective sales skills combined with expertise in asset management to attract new clients and expand existing relationships. This role is perfect for proactive professionals eager to lead within a flexible environment while making a meaningful impact in the financial industry through compliance oversight, strategic advice, and client service excellence.

Pay: $25.00 - $100.00 per hour

Work Location: Remote