Senior Complex Product Supervision Principal
Core
Senior expert supervising transaction appropriateness for life insurance, annuities, structured products, and alternative investments to ensure regulatory compliance.
Role type
Senior IC complex product supervision principal
Builds
Regulatory compliance and risk management for financial advisors
Domain
Financial services / Wealth management
Required skills
FINRA Series 7, 66, 9, 10 (or Series 24), Life insurance, Annuities, Structured products, Alternative investments, FINRA/SEC/State regulations, Microsoft Excel/Word/Access/PowerPoint/Visio
Preferred skills
Complex problem solving, Risk management, Proactive service mindset
Responsibilities
Serve as subject matter expert for complex products across the country; Supervise appropriateness of transactions in life insurance/annuity products; Ensure advisors meet regulatory supervision standards.
Seniority
Senior, hands-on IC