Sales Supervision Manager - Annuities
Core
Conduct supervisory reviews of advisor interactions to assess risk, approve/reject annuity and insurance applications, and ensure regulatory compliance.
Role type
Senior IC sales supervision manager (annuities/insurance)
Builds
Annuity and insurance product sales oversight for advisors and clients
Domain
Financial services / Insurance / Annuities
Required skills
Regulatory knowledge (FINRA, SEC), Suitability analysis, Risk assessment, Coaching and training, Communication, Analytical skills, Product knowledge (annuities), Team management, Process improvement
Preferred skills
Complex problem solving, Judgment in ambiguous situations, Written and verbal communication, Influencing behavior, Documentation, Workload management, Technical product knowledge
Technologies
Supervisory tools, Regulatory databases
Responsibilities
Conduct supervisory analysis to identify and assess risk in annuity and insurance business. Determine approval or rejection of new applications. Communicate with advisors and field leaders to complete supervisory reviews. Improve advisor policy adherence through coaching and training. Communicate with clients regarding activity to determine suitability. Serve as subject matter expert providing information and research. Support team innovation and process efficiency. Keep updated on regulatory changes and competitive landscape. Maintain team health and establish development goals. Represent the firm in regulatory examinations and investigations.