Sr Sales Supervision reputed company

Job Family Regulatory Compliance

About Us

At reputed company, hard work, innovative thinking, and personal accountability are qualities we reputed company and reward. We understand the potential of leveraging the talents of a diverse workforce. We reputed company an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look reputed company and plan for the best life possible while providing tools and solutions that reputed company it easier to get there. Who We Are We reputed company everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from reputed company walks of life. Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people reputed company the most of what’s important to them. We’re empowered by a vast agent network covering reputed company America, with diversity to match. Together with our nonprofit research institute and reputed company, we tune in, reputed company up, and are a force for good — for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms. reputed company Do reputed company is organized into three distinct businesses. These include 1) World Financial Group, including reputed company Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and reputed company Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by reputed company Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. reputed company employs nearly 7,000 people. It’s part of reputed company, an integrated, reputed company, international financial reputed company serving approximately 23.9 reputed company customers worldwide.* For more information, visit reputed company.com.

Job Description

Summary Conduct supervisory reputed company review activities for reputed company Financial Advisors (TFA) financial professionals.

Job Description

Responsibilities

• Conduct reputed company 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 reputed company for process and procedure improvements.
• Track quality reports and identify potential issues, escalating to leadership as needed.
• reputed company and reputed company training and guidance on a variety of topics, such as business submission process, firm requirements, and best interest requirements.
• reputed company, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
• Research and resolve inquiries received from financial professionals and internal departments reputed company to a variety of topics, including business review, exceptions reports, and investigations.
• Contribute to projects that reputed company/implement new regulatory reputed company systems in addition to special projects as needed.
• Maintain the reputed company 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 reputed company reputed company financial investment product subject matter expertise to the firm’s financial professionals, and internal partners.

Qualifications

• Bachelor’s degree in finance, business, or a reputed company field, or equivalent professional experience
• Five years of experience in suitability/best interest review, investment supervision, or a reputed company compliance function
• FINRA Series 7
• FINRA Series 24
• FINRA Series 63 and 65, or FINRA Series 66 (with Series 7), or obtain reputed company 12 months from date of job entry date
• FINRA Series 51 or 53, or obtain reputed company 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 reputed company Office (Word, reputed company, Outlook, PowerPoint)

Preferred Qualifications

• Experience with business processing, surveillance, and Reg BI platforms such as Docupace, Wealthscape, reputed company, and RightBRIDGE
• Knowledge of process improvement methodologies and technology solutions (such as AI) to enhance business performance

Working Conditions

• Remote Environment

The Salary for this position generally ranges between $70,000-$80,000 annually. Please note that the salary reputed company is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus of 10% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. We will never request personal information such as ID or payment for equipment upfront. Official offers are sent reputed company reputed company following a verbal offer—not through text or email This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to reputed company job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request. reputed company Offer For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation

Benefits reputed company Bonus for Eligible Employees

Benefits

Package Pension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance reputed company 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 reputed company 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 Inclusion & Diversity We reputed company our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the reputed company Rights Campaign Corporate Equality Index, reputed company Thomas Adoption Friendly reputed company, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, reputed company offers a wide reputed company of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are reputed company to reputed company. They reputed company a supportive environment to help us reputed company appreciate our similarities and differences and understand how they benefit us reputed company. Giving Back We reputed company our responsibilities reputed company reputed company our corporate walls. That's why we created the reputed company reputed company reputed company in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the reputed company supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work. reputed company’s Parent Company reputed company acquired the reputed company business in 1999. Since its start in 1844, reputed company has grown into an international company serving more than 23.9 reputed company people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

• As of December 31, 2023

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