Sr Sales Supervision Principal - Advice Center
$70,000–$85,000 year
On-siteDenver, Colorado, United States or Cedar Rapids, Iowa, United States
Job Summary
Conduct suitability reviews for new business and oversee account reviews to ensure client best interests. Preapprove complex products prior to distribution, manage OSJ files for RIA, broker/dealer, and insurance agency, and certify regulatory requirements for RIAs. Provide compliance training and guidance, investigate regulatory violations or sales practice improprieties, and assist with preparation for regulatory audits. Track quality reports, identify potential issues, and assist with investment issues and complaints. Perform Principal guidance and training while providing supervisory feedback. Ensure adherence to business line processes and controls.
Required Qualifications
- Bachelor's degree in finance or business-related field, or equivalent work experience
- Five years of suitability/best interest review experience, investment sales supervision, or similar work
- FINRA Series 6 or 7, 63, 26, and 24
- FINRA Series 65 or 66, or obtained within 6 months
- Thorough knowledge of securities products, FINRA, SEC and DOL regulations
- Ability to analyze complex issues and recommend solutions
- Strong written and verbal communication skills
- Attention to detail
- Proficiency in MS Office (Word, Excel)
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