Conduct principal review and approval for suitability and client’s best interest on variety of business types, including mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.
Ensure adherence to business line processes and controls, identifying and recommending ideas for process and procedure improvements.
Track quality reports and identify potential issues, escalating to leadership as needed.
Develop and provide training and guidance on a variety of topics, such as business submission process, firm requirements, and best interest requirements.
Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
Research and resolve inquiries received from financial professionals and internal departments related to a variety of topics, including business review, exceptions reports, and investigations.
Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed.
Maintain the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with input and feedback to operations and compliance departments.
Assist with the preparation for regulatory audits, as needed.
Strengthen and maintain relationships with financial professionals and support staff and provide complex financial investment product subject matter expertise to the firm’s financial professionals, and internal partners.

Bachelor’s degree in finance, business, or a related field, or equivalent professional experience
Five years of experience in suitability/best interest review, investment supervision, or a related compliance function
FINRA Series 7
FINRA Series 24
FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain within 12 months from date of job entry date
FINRA Series 51 or 53, or obtain within 12 months from job entry date
Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
Excellent analytical, problem-solving, and decision-making skills
Exceptional written and verbal communication with high attention to detail
Proven ability to manage multiple priorities in a fast-paced environment
Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)

Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs

Senior Sales Supervisor

Key skills