Sales Practice Principal

Supervise the daily front-office, client-facing activities of registered representatives in retail brokerage. Oversee sales practice compliance by monitoring trade activity, correspondence, and trade exception reports, and by staying current on FINRA/SEC rules. Lead performance management and hands-on coaching of Registered Associates across an assigned region, coordinate with operations/compliance/trading partners, and help identify, escalate, and resolve client complaints and audit issues while ensuring adherence to policies and client service standards.