Sales Supervision Principal

Responsibilities

• Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions.
• Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusion.
• Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed.
• Works with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections.
• Stays fully informed of firm rules, guidelines, and procedures, as well as regulatory changes.
• Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs).
• Makes sure internal controls are monitored, reported, and enforced to ensure compliance with industry standards and the firm’s policies and procedures.
• Keeps workflow timely and ensures regulatory deadlines are met.

Basic Requirements

• Basic VA, RILA, FIA annuity & Alternative Investment knowledge
• At least 1 – 2 years related experience
• FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required
• Excellent written and verbal communication skills
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
• Analytical and problem-solving skills

Preferred Requirements

• FINRA Series 65 or Series 66 preferred
• Life & Variable Insurance licenses preferred

Signature Consultants is committed to providing reasonable accommodation to qualified individuals with physical and mental disabilities according to state and federal disability discrimination laws. If, because of a disability, you need assistance or a reasonable accommodation for any part of the employment process, please email hr@sigconsult.com or call 888-838-1020. Signature Consultants will partner with you in good faith to identify and implement a reasonable accommodation, if any, that is appropriate and consistent with its legal obligations.

Signature Consultants is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.