Sales Supervision Principal

Supervision Principal Opportunity in Financial Services Sales Supervision PrincipalLocation(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339La Vista:12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Osaic 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-timeSalary: $65,000 – $75,000 per year + annual bonusActual 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.SummaryThe 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 RequirementsBachelor’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.ResponsibilitiesEnsures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissionsCompletes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusionProvides a written recommendation of approval or rejection after a thorough suitability analysis is completedWorks with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejectionsStays fully informed of firm rules, guidelines, and procedures, as well as regulatory changesMonitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and proceduresKeeps timely workflow and ensures regulatory deadlines are metMaintains 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 RequirementsBasic VA, RILA, FIA annuity & Alternative Investment knowledgeAt least 1 – 2 years related experienceFINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are requiredExcellent written and verbal communication skillsAbility to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlinesAnalytical and problem-solving skillsPreferred RequirementsFINRA Series 65 or Series 66 preferredLife & Variable Insurance licenses preferredEqual Opportunity EmployerOsaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.EligibilityApplicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.Unqualified ApplicationsOsaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.Recruiting AgenciesOsaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.