Sales Supervision Principal - Financial Services

About the role

Osaic is hiring a Sales Supervision Principal in financial services sales supervision, working from one of its hubs (Atlanta, La Vista, Oakdale, Scottsdale or St. Petersburg). The role reviews and approves or rejects business pre-approvals such as Variable Annuity, Registered Index-Linked Annuity and Fixed Indexed Annuity initial purchases and replacements, and non-traded alternative investments. It is full-time, with a salary of $65,000-$75,000 per year plus an annual bonus, and a hybrid schedule of at least 4 days a week in the office.

Key responsibilities

• Review all assigned transactions daily and work with advisors to fix deficiencies in their submissions
• Enter data into the pre-approval platform and document analysis, advisor communications, resolution of deficiencies and conclusions
• Provide a written recommendation of approval or rejection after a thorough suitability analysis
• Work with the Senior Trade Specialist, Team Lead and Trade Specialist Manager on escalated issues and rejections
• Monitor, report and enforce internal controls and keep regulatory deadlines met
• Maintain good relationships with advisors and first-line supervisors, in line with regional vice presidents and regional sales managers

Required profile

• Bachelor's degree preferred; high school diploma or equivalent with significant experience is considered instead
• At least 1-2 years of related experience
• Basic knowledge of VA, RILA, FIA annuities and alternative investments
• FINRA Series 7, Series 63 (or 66) and Series 24 (or 8, 9/10) required; Series 65 or 66 and life and variable insurance licenses preferred

Required skills

• Excellent written and verbal communication
• Analytical and problem-solving skills
• Ability to handle and prioritize multiple tasks in a fast-paced environment

What we offer

• Health, vision and dental insurance
• 401k and paid time off
• Volunteer days and other benefits