About this role
Associate Regional Director - Supervision Principal at Cir. Location: Phoenix or Fairfield. Role: reviewing correspondence, supervising staff, managing exceptions Requirements: Minimum 4 years in FINRA compliance or broker-dealer supervision; active Series 7 and Series 24 required; Series 51/53/4 preferred; proficiency with Microsoft Office and Adobe Acrobat; Tableau experience preferred. Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Office, Adobe Acrobat, Tableau Certifications: series 7, series 24, series 51, series 53, series 4 Commitment: Full Time Workplace: Hybrid Languages: English