Sales Supervision Principal

Advisor Group

Scottsdale, AZ

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JOB DETAILS

SKILLS

Analysis Skills, Annuities, Business Practices, Communication Skills, Data Entry, Establish Priorities, Financial Services, High School Diploma, Hubs, Industry Standards, Life Insurance, Maintain Compliance, Monitor Regulations, Multitasking, Presentation/Verbal Skills, Problem Solving Skills, Regional Sales, Regulations, Regulatory Compliance, Regulatory Requirements, Sales, Sales Management, Series 24, Series 63, Series 65, Series 66, Series 7, Team Lead/Manager, Time Management, Variable Annuities, Writing Skills

LOCATION

Scottsdale, AZ

POSTED

30+ days ago

Current Employees and Contractors Apply Here Osaic Careers Supervision Principal Opportunity in Financial Services Sales Supervision Principal Location(s): 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 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: $65,000 – $75,000 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: Osaic Benefits. Summary: The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements and non-traded alternative investment purchases. Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions and documents findings, rationale, and provides 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. Education Requirements: Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required. Responsibilities: Ensures 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 Trade Specialist 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 of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs) All other duties as assigned. Basic Requirements: Basic VA, RILA, FIA annuity & Alternative Investment 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 required 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 Preferred Requirements: FINRA Series 65 or Series 66 preferred Life & Variable Insurance licenses preferred Current Employees and Contractors Apply Here Don't see a job that works for you? Not to worry, you can still introduce yourself to us by clicking on, Get Started.

About the Company

Advisor Group

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