Sales Supervision Principal
Core
Conducts suitability reviews and provides approval/rejection decisions for business pre-approvals including Variable Annuity, Registered Index-Linked Annuity, Fixed Indexed Annuity, and non-traded alternative investments.
Role type
Full-time compliance supervision specialist
Builds
Pre-approval decisions for annuity and alternative investment transactions
Domain
Financial Services / Insurance / Investment Products
Required skills
FINRA Series 7, Series 63, Series 24, suitability analysis, regulatory compliance, data entry, workflow management
Preferred skills
FINRA Series 65, Life & Variable Insurance licenses
Technologies
Sales Supervision pre-approval platform
Responsibilities
Review assigned transactions for suitability and compliance, document analysis findings and rationale, provide written approval or rejection recommendations, resolve submission deficiencies with advisors, monitor internal controls and regulatory deadlines, escalate complex issues to management
Seniority
Entry-level to Mid-level, hands-on IC