Sales Supervision Principal

About the role

Osaic is hiring a Sales Supervision Principal in financial services sales supervision, working under the guidance of the Department Manager, Team Lead and/or Senior Trade Specialist. The role reviews suitability, investor eligibility and supervisory reviews of transactions requiring firm pre-approval, with a focus on non-traded alternative investments such as private placements, DSTs, exchange funds, non-traded REITs and other alternative offerings, as well as Variable Annuity, Registered Index-Linked Annuity and Fixed Indexed Annuity purchases and replacements. The position is full-time, paid $65,000-$75,000 per year plus an annual bonus, with actual pay depending on location, skills, licensure, experience and education.

The role is hybrid, with a minimum of 4 days per week in the office, and applicants must live at one of the listed hubs (Atlanta, La Vista, Oakdale, Scottsdale or St. Petersburg).

Key responsibilities

• Review all assigned transactions daily and work with advisors to fix deficiencies in submissions
• Enter data into the pre-approval platform and document analysis, communications, resolutions and conclusions
• Provide a written recommendation of approval or rejection after a thorough suitability analysis
• Work with the Sr. 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
• Required licenses: FINRA Series 7, Series 63 (or 66) and Series 24 (or 8, 9/10)
• Preferred: FINRA Series 65 or 66 and Life & Variable insurance licenses

What we offer

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