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Fractional
General Securities Principal
Savvly · US · Remote
Pay
Rate not listed
Length
1 - 3 hrs weekly commitment
About the role
Savvly is seeking an experienced independent General Securities Principal (Series 24) to serve as an external consulting principal for their introductory broker dealer. This fractional role helps satisfy FINRA membership requirements and assists in establishing and maintaining supervisory and compliance frameworks. The consultant will partner with firm leadership on Written Supervisory Procedures, provide fractional supervisory oversight, and assist with FINRA regulatory inquiries and annual supervisory reviews.
What you'll do
- •Serve as a registered General Securities Principal (Series 24) on Form BD / CRD
- •Partner with firm leadership and compliance to maintain Written Supervisory Procedures (WSPs) aligned with FINRA, SEC, and state regulations
- •Provide fractional supervisory oversight for business lines and marketing/communications reviews as needed
- •Assist with FINRA regulatory inquiries, filings, and annual supervisory reviews (FINRA Rule 3120/3130)
What they're looking for
- •Active (or within the 2-year window / eligible for transfer) FINRA Series 7 and Series 24 registrations
- •Clean CRD/BrokerCheck record
- •Prior experience as a designated principal, CCO, or senior supervisor at a FINRA-registered broker-dealer
- •Experience navigating the New Member Application (NMA) or Continuing Membership Application (CMA) process is strongly preferred
- •Ability to commit an estimated 5–15 hours per month on a flexible, consulting basis
Skills
FINRA ComplianceSeries 24 RegistrationSupervisory ProceduresRegulatory OversightBroker-Dealer OperationsWritten Supervisory Procedures
Found on fractionaljobs.io. Link checked Nov 9. Marquee links to the company's own application. We are not the employer.