Sales Supervision PrincipalOsaic • Saint Paul, MN, US
Sales Supervision Principal
Osaic • Saint Paul, MN, US
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- serp_jobs.job_card.full_time
job_description.job_card.job_descriptionEnsures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies and conclusion Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed Works with the Sr. Trade Specialist, Team Lead, and / or Manager on escalated issues and rejections Stays fully informed of firm rules, guidelines and procedures as well as regulatory changes Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures Keeps timely workflow and ensures regulatory deadlines are met Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Supervision Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs) Basic Annuity knowledge At least 1-2 years related experience FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9 / 10) are mandatorily required to be considered for the role. Excellent written and verbal communication skills Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines Analytical and problem-solving skills FINRA Series 65 or Series 66 Life & Variable Insurance licenses
Sales Supervision Principal
The Sales Supervision Principal conducts suitability reviews of business requiring firm pre-approval, to include, but not limited to, Variable Annuity (VA), RILA and FIA initial purchases and replacements and non-traded alternative investment purchases. Under the guidance of the Department Manager and Team Lead and / or Senior Principal, the Sales Supervision Principal performs research and analysis of proposed transactions and documents findings, rationale and approval / rejection decisions. Ensures business is processed in accordance with the firm's policies and procedures and in compliance with regulatory requirements to protect the client, the First Line Supervisor (FLS), and the firm.
Locations :
Atlanta : 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista : 12325 Port Grace Blvd, La Vista, NE 68128
Oakdale : 7755 3rd St. N, Oakdale, MN 55128
Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type : Full-time
Salary : $60,000 - $70,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page.
Education Requirements :
- Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities :
Basic Requirements :
Preferred Requirements :
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Supervision Principal • Saint Paul, MN, US
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