Senior Sales Supervisor

This is a fully remote position, open to applicants in United States.

📋 Description

• Perform principal reviews and grant approvals to ensure suitability and prioritize the client's best interests across various business types, including mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.

• Guarantee compliance with business line processes and controls while identifying and suggesting improvements for processes and procedures.

• Monitor quality reports to detect potential issues, escalating them to leadership when necessary.

• Create and deliver training and guidance on various topics, such as the business submission process, firm requirements, and best interest standards.

• Develop, maintain, and update Written Supervisory Procedures, Desktop procedures, and quick reference guides.

• Investigate and resolve inquiries from financial professionals and internal departments regarding a range of topics, including business reviews, exceptions reports, and investigations.

• Participate in projects aimed at upgrading or implementing new regulatory-related systems, as well as special projects as required.

• Support the ongoing development and improvement of supervisory policies, procedures, and systems, collaborating with operations and compliance departments based on their feedback.

• Aid in the preparation for regulatory audits as necessary.

• Build and sustain relationships with financial professionals and support staff, providing complex financial investment product subject matter expertise to the firm's financial advisors and internal partners.

⛳️ Requirements

• 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 certification.

• FINRA Series 24 certification.

• FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain within 12 months of starting the job.

• FINRA Series 51 or 53, or obtain within 12 months of starting the job.

• Strong understanding of securities products and regulatory frameworks (FINRA, SEC, DOL).

• Excellent analytical, problem-solving, and decision-making capabilities.

• Outstanding written and verbal communication skills, with a keen attention to detail.

• Demonstrated ability to handle multiple priorities in a fast-paced environment.

• Proficient in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint).

🏝️ Benefits

• Competitive Pay.

• Bonus for Eligible Employees.

• Comprehensive Benefits Package.

• Pension Plan.

• 401k Match.

• Employee Stock Purchase Plan.

• Tuition Reimbursement.

• Disability Insurance.

• Medical Insurance.

• Dental Insurance.

• Vision Insurance.

• Employee Discounts.

• Opportunities for Career Training & Development.

• 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 aligning with the New York Stock Exchange (NYSE) holidays.

• Be Well Company holistic wellness program, including Wellness Coaching and Reward Dollars.

• Parental Leave – fifteen (15) days of paid parental leave per calendar year for eligible employees with at least one year of service at the time of birth, adoption, or foster care placement.

• 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.