Sales Supervision Principal

Posted 8 days ago

osaicAtlanta (GA)

First-Line Supervisors of Non-Retail Sales Workers Portfolio Management and Investment Advice

SENIORITY

Senior

SALARY

$65,000 - $75,000 per year

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About the role

Osaic Careers Supervision Principal Opportunity in Financial Services Sales Supervision Principal Location(s):Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic 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-time

Salary: $65,000 $75,000 per year + annual bonus

Actual 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.

Summary: The Sales Supervision Principal conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, with a primary focus on non-traded alternative investments, including private placements, Delaware Statutory Trusts (DSTs), exchange funds, non-traded REITs, and other alternative investment offerings. The role also reviews Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements. Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions, evaluates investor qualification requirements, assesses suitability and best interest considerations, and documents findings, rationale, and approval or rejection decisions. The role ensures transactions are processed in accordance with firm policies and procedures and in compliance with applicable regulatory requirements. Through effective risk assessment and supervisory oversight, the Sales Supervision Principal helps protect clients, First Line Supervisors (FLS), and the firm while supporting a consistent, efficient, and high-quality review process.

Education Requirements: Bachelor'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.

Responsibilities:

Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions
Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusion
Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed
Works with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections
Stays fully informed of firm rules, guidelines, and procedures, as well as regulatory changes
Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures
Keeps timely workflow and ensures regulatory deadlines are met
Maintains 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)

Basic Requirements:

Basic VA, RILA, FIA annuity & Alternative Investment knowledge
At least 1 2 years related experienceFINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required
Excellent written and verbal communication skills
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Analytical and problem-solving skills

Preferred Requirements: FINRA Series 65 or Series 66 preferred Life & Variable Insurance licenses preferred

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