About the Supervisory Principal Role at Robert Half

Join Robert Half in the Greater Twin Cities area as a Supervisory Principal in Golden Valley, Minnesota. This pivotal full-time position is perfect for seasoned finance professionals passionate about regulatory compliance, risk management, and ethical leadership in the financial services industry. As a Supervisory Principal, you will play a critical role in overseeing representatives and associated persons, ensuring all activities align with stringent industry regulations such as FINRA and SEC standards. Robert Half, a global leader in professional services, values integrity and operational excellence, and this role supports our unwavering commitment to these principles. Located in the vibrant community of Golden Valley, MN, you'll contribute to a dynamic team environment while advancing your career in financial supervision.

This position demands a blend of strategic oversight, meticulous review processes, and collaborative problem-solving. With a salary context starting at $70,000 USD annually, competitive benefits, and opportunities for growth, it's an ideal opportunity for compliance experts seeking impact. Whether you're analyzing business practices for emerging risks or guiding employees on best practices, your expertise will directly influence the firm's success and client trust.

Why Golden Valley, MN?

Golden Valley offers a perfect balance of suburban charm and urban accessibility, just minutes from Minneapolis. Enjoy proximity to top-rated parks, excellent schools, and a thriving business community, all while working for a Fortune 500 company like Robert Half.

Key Responsibilities

In this role, you'll wear multiple hats, from daily transaction approvals to strategic policy recommendations. Here's a detailed look:

• Oversee Daily Operations: Approve day-to-day business activities, including new and existing transactions to maintain seamless workflow and compliance.
• Transaction and Form Authorization: Review and authorize new account forms, service requests, and client transactions with precision and efficiency.
• Due Diligence Support: Collaborate on evaluating new products and vendors, ensuring thorough risk assessment before integration.
• Risk Analysis and Trend Identification: Scrutinize business practices to spot potential risks, compliance gaps, and emerging trends that could impact operations.
• Policy Collaboration: Partner with senior management to develop and update policies and procedures that enhance firm-wide standards.
• Communications Oversight: Review and approve all public communications to uphold brand integrity and regulatory adherence.
• Employee Resource: Act as the go-to expert for supervision topics, sharing industry best practices and guidance.
• Project Support: Jump into special projects and initiatives, driving organizational goals forward.

Required Qualifications

To excel as our Supervisory Principal, you'll need:

• Proven experience in financial services supervision and regulatory compliance.
• Deep knowledge of FINRA, SEC, and other industry regulations.
• Strong analytical skills for risk assessment and business practice reviews.
• Excellent communication and collaboration abilities for working with management and teams.
• Track record in transaction approvals, due diligence, and form authorizations.
• Bachelor's degree in Finance, Business Administration, or a related field.
• Relevant licenses such as Series 7, Series 24, or equivalent certifications.
• Ability to serve as a knowledgeable resource on supervision and best practices.
• Experience supporting special projects in a fast-paced environment.

We're seeking candidates with 5+ years in similar roles, a keen eye for detail, and a proactive approach to compliance challenges. SEO keywords like 'Supervisory Principal jobs Golden Valley MN,' 'FINRA compliance careers,' and 'financial supervision Robert Half' highlight this opportunity for top talent.

Why Join Robert Half?

Robert Half offers more than a job—it's a career launchpad. Enjoy competitive compensation around $70,000-$95,000 based on experience, plus comprehensive benefits including health insurance, 401(k) matching, PTO, and professional development. Our inclusive culture fosters innovation and growth, with hybrid work options in Golden Valley, MN. Be part of a team that's reshaping professional services. Apply now and elevate your compliance career!

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