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[ Home Office Registered Principal - FINRA Series 7, 63 and 24 Required ] Job Information
Company NEXT Financial Group, Inc. Department Operations
Category Operations Job Type Full-Time Perm.
Job Status Sourcing Salary Range NA
Minimum Education University Degree Title
Minimum Experience No of Jobs 1
Duration Full Time Start Publishing 02/06/2018
Stop Publishing 03/06/2018 Country United States
State Texas City Houston 77042

Position Overview

NEXT Financial Group, Inc., an award-winning independent broker-dealer, has an exciting supervisory opportunity in its Operations Department for a full-time Home Office Registered Principal. This position utilizes a licensed expertise to ensure that transactions, accounts and business practices of those representatives in NEXT’s national network who report to the home office remain within regulation. This supervisory role is designed for a detail-oriented, self-starter with strong industry acumen. 

Build and develop your career in an encouraging environment with minimal supervision, large opportunities for growth and competitive company benefits. Become a part of an established firm whose culture focuses on empowering home office staff to achieve their goals with the support of fellow coworkers, who become more like family.

If you are interested in joining the dynamic team at NEXT as their newest Home Office Registered Principal, continue reading below:

Essential Duties and Responsibilities


  • Review, monitor and approve all processes for new account forms, new direct business applications, exception reports and trading activity (blotters) for suitability for all OSJ Supervisors, Division Managers and all other Registered Representatives who report to the home office

  • Utilize independent decision making skills and industry knowledge to maintain and encourage a compliant and open environment for those under supervision

  • Educate Registered Representatives on general compliance, trading and operational questions

  • Communicate with product vendors for relationship building and research purposes to make appropriate decisions regarding suitability of securities transactions

  • Work with Supervisory Team to share ideas, problems and changes in procedure, and serve as the team resource regarding escalation issues

  • Home Office Registered Principals receive supervision from the President, the Executive Vice President, Chief Compliance Officer, Senior Vice President of Operations, Vice President of Operations

  • Other duties as assigned




  • Bachelor’s Degree in business, finance or a related field is preferred

  • Minimum of 4 years industry experience preferred, with at least 1 year in a supervisory role

  • Minimum of 2 years of experience with back office software is preferred

  • FINRA Series 7, 63 and 24 licenses are required

  • FINRA Series 51 exam must be obtained within 60 days of hire

  • FINRA Series 4 exam must be obtained within 90-120 days of hire

  • FINRA Series 4, 51 or 53 and 65 licenses are preferred

  • Proficient in Microsoft Office Suite, specifically Word, Excel and Adobe

  • Understanding of retail investment products to coach or educate others

  • Ability to take action in a team environment and work independently with strong analytical and decision making skills

Preferred Skills
Posted 02/06/2018 07:49:02