Sales Supervision Principal

About the role

The Sales Supervision Principal role involves conducting suitability reviews for businesses requiring firm pre-approval, including Variable Annuities, Registered Index-Linked Annuities, Fixed Indexed Annuities, and non-traded alternative investments. This position requires a strong understanding of relevant annuities and alternative investments, as well as adherence to firm policies and regulatory requirements.

Responsibilities

• Ensures proper business and sales practices are followed by reviewing all assigned transactions and working with 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.
• Collaborates with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections.
• Stays 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).
• Maintains compliance with industry standards and the firm’s policies and procedures.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
• Keeps workflow organized and ensures regulatory deadlines are met.
• Performs other duties as assigned.

Requirements

• Bachelor’s degree preferred, high school diploma (or equivalent) in lieu of degree with significant experience may be considered.
• Minimum of high school diploma or equivalent is required.
• 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.
• Effective analytical and problem-solving skills.

Qualifications

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

Benefits

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days, and much more. For more details, visit our careers page: Osaic Benefits.

Pay

$65,000 – $75,000 per year + annual bonus. Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Schedule

Osaic has adopted a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.