Description We are looking for an experienced Supervisory Principal to join our team in the Greater Twin Cities area. In this role, you will ensure compliance with industry regulations while overseeing the activities of representatives and associated persons within the firm. This position is integral to maintaining high operational standards and supporting the firm's commitment to ethical practices. Responsibilities + Oversee and approve day-to-day business activities, including new and existing transactions. + Review and authorize forms for new accounts, service forms, and related client transactions. + Assist with due diligence processes for new products and vendors. + Analyze business practices to identify potential risks and trends. + Collaborate with senior management to recommend updates to policies and procedures. + Review and approve public communications. + Serve as a resource for employees on supervision topics and industry best practices. + Provide support for special projects and organizational initiatives as needed. Requirements Requirements + Active FINRA Series 7, 63/65 or 66, and 24 registrations. + Minimum 3 years of experience in financial services. + Strong written and verbal communication abilities. + Thorough knowledge of applicable laws and regulations affecting the financial services industry. + Solid understanding of products and services offered by broker dealers and clearing firms. + Proven quantitative, qualitative, analytical, and problem-solving skills. Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) and Privacy Notice (https://www.roberthalf.com/us/en/privacy) .