New

Supervisory Principal

TEKsystems
$75,000.00 - $115,000.00 / yr
life insurance, flexible benefit account, parental leave, paid time off, paid holidays, 401(k)
United States, Texas, Coppell
May 14, 2026
Supervisory Principal Role Overview We are seeking a Supervisory Principal to join a high-performing supervision team focused on compliance excellence and business oversight. This role is ideal for a registered principal who enjoys working in a fastpaced, detailoriented environment and takes pride in supporting financial professionals while protecting firm standards. Successful candidates are selfmotivated, analytical, and strong communicators with a deep understanding of financial services products and regulations. What You'll Do Reporting to the Supervision Team Manager,* you will be responsible for principal review, business oversight, and supervision activities, including: Oversee assigned financial representatives by reviewing and approving: * New customer accounts * Daily transactions * Correspondence * Regulation Best Interest (Reg BI) requirements * Review alerts related to advisory account exceptions * Conduct customer account reviews to identify potential sales abuses or suitability concerns * Discuss compliance issues or potential violations directly with financial representatives * Provide education and guidance to financial professionals on: * Regulatory, corporate, and legal requirements * Product offerings * Licensing matters * Internal processes and procedures What You Need to Have Experience & Knowledge * 3+ years of compliance or relevant securities industry experience * 3+ years of experience with securities products, including stocks, bonds, options, annuities, and mutual funds * Strong understanding of industry rules governing transactions and suitability Licensing Requirements * FINRA Series 7, 24, 63, and 65 or 66 (required) * Series 52/53 required after hire Skills & Attributes * Strong working knowledge of industry products and services (mutual funds, UITs, ETFs, REITs, annuities, alternative investments) * Excellent communication and technology skills * Ability to manage competing priorities in a fastpaced, timesensitive environment * Detailoriented with strong criticalthinking skills * Collaborative team player committed to department and firm success * Customerfocused mindset with strong relationshipbuilding skills Job Type & Location This is a Permanent position based out of Coppell, TX. Pay and BenefitsThe pay range for this position is $75000.00 - $115000.00/yr. * Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. * Easy access to mental health benefits to meet our team members and their families where they are. * 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. * 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. * Paid parental leave to support all team members with birth, adoption, and foster. * Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. * Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. Workplace TypeThis is a hybrid position in Coppell,TX. Application DeadlineThis position is anticipated to close on May 27, 2026. About TEKsystems We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. About TEKsystems and TEKsystems Global Services We're a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We're strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We're building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com. The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. San Francisco Fair Chance Ordinance: Pursuant to the San Francisco Fair Chance Ordinance, for all positions located in the city and county of San Francisco, we will consider for employment qualified applicants with arrest and conviction records. Massachusetts Lie Detector: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. Use of Artificial Intelligence (AI): We may use Artificial Intelligence (AI) to support parts of our hiring process, including sourcing, screening, and evaluating candidates. AI helps assess applications and qualifications, but final decisions are made by our hiring team. By applying, you acknowledge and agree that your application may be reviewed using AI tools.