Sales Supervision Principal
Core
Conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, focusing on non-traded alternative investments and annuities.
Role type
Sales Supervision Principal
Builds
Pre-approval decisions for alternative investments and annuity transactions
Domain
Financial Services / Alternative Investments / Annuities
Deliverable
client delivery
Required skills
Suitability analysis, investor eligibility assessment, regulatory compliance monitoring, transaction review, data entry, written recommendations, internal controls enforcement
Preferred skills
Life & Variable Insurance licensing knowledge
Technologies
Sales Supervision pre-approval platform
Responsibilities
Review assigned transactions for suitability and compliance, document analysis and advisor communications, provide written approval or rejection recommendations, escalate issues with senior specialists, monitor regulatory changes, enforce internal controls, maintain workflow and deadlines
Seniority
Entry-level to Mid-level, hands-on IC