FINRA Licensed Sales Supervisor
Job Summary
Conducting supervisory principal review activities, the full-time FINRA Licensed Sales Supervisor will ensure compliance with suitability and best interest standards for various financial products while working remotely.
Key responsibilities
- Conduct principal reviews and approvals for suitability on a variety of business types, including mutual funds and variable annuities
- Track quality reports, identify potential issues, and escalate to leadership as necessary
- Develop and provide training on business submission processes and firm requirements
Required qualifications
- Bachelor's degree in finance, business, or a related field, or equivalent professional experience
- Five years of experience in suitability/best interest review or investment supervision
- FINRA Series 7 and Series 24 licenses
- FINRA Series 63 and 65, or Series 66 (with Series 7), or ability to obtain within 12 months
- Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
Complete Job Description
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