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
Required skills
FINRA Series 7, Series 63, Series 24, suitability analysis, regulatory compliance, transaction review, data entry, risk assessment
Preferred skills
FINRA Series 65, Life & Variable Insurance licenses
Technologies
Sales Supervision pre-approval platform
Responsibilities
Review assigned transactions for suitability and investor eligibility; Document analysis findings and approval/rejection decisions; Enforce internal controls and monitor regulatory compliance; Address deficiencies in advisor submissions; Collaborate with Team Leads and Managers on escalated issues; Maintain workflow and meet regulatory deadlines.
Seniority
Mid-level, hands-on IC