Field Supervision Director - Annuity

About the role

The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting clients' best interest while ensuring the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.

Responsibilities

• Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant annuity business
• Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate
• Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products
• Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
• Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
• Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
• Work in collaboration with internal business areas

Requirements

• Series 7 license required that is currently active and held for a minimum of one year
• Series 9, 10, 24, 66 and insurance licenses required or must be obtained within four months of hire
• Compliance oversight, risk management, or supervisory related experience is strongly preferred
• Extensive knowledge of various annuity products including variable annuities, fixed annuities, indexed annuities, single premium immediate annuities, and deferred income annuities

Qualifications

• Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

Skills

• Strong communication and interpersonal skills
• Ability to manage multiple tasks and prioritize effectively
• Knowledge of annuity products and regulatory requirements

Benefits

• Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness)
• Short- and long-term disability, basic life, and basic AD&D coverage (provided at no cost to associates)
• 401(k) retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account
• Ten paid holidays and 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism
• Eligibility for bonuses and profit sharing
• Employee Assistance Program

Pay

Compensation provided for using, not obtaining, the rating.

Schedule

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.