Company Description:
Savvly partners with forward-thinking employers to offer Longevity Benefits, a regulated financial solution designed to complement traditional retirement plans by providing income later in life. The company’s products are designed to fill gaps in existing 401(k) and pension structures, with structured payouts at ages 80, 85, 90, and 95 to support long-term financial security. Savvly collaborates with leading organizations and is led by an experienced team with backgrounds in major consulting firms, financial institutions, law firms, and top universities. The Savvly Longevity Benefit is an investment in Savvly 80+ Fund, a registered closed-end fund managed by Savvly Advisor, LLC, and is not a bank deposit, not FDIC insured, and not a guaranteed income or insurance product. Investing involves risk, including potential loss of principal and early withdrawal penalties, and applicants are encouraged to review savvly.com/disclosures for full details on objectives, risks, and charges.
About the Role:
We are seeking an experienced independent General Securities Principal (Series 24) to serve as an external consulting principal for the introductory broker dealer we are establishing. In this fractional role, you will help satisfy FINRA membership requirements (NMA / ongoing supervisory standing) and assist in establishing and maintaining our supervisory and compliance framework.
Key Responsibilities:
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).
Requirements & Qualifications:
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.
Interested?
Apply or send a direct message or submit your resume/CRD number to. All inquiries will be kept strictly confidential.#FINRA #Series24 #BrokerDealer #Compliance
Consulting #Securities
Principal #Fractional
Executive
