State Licensed Sales Supervisor

Job Summary

Conducting supervisory principal review activities, the full-time remote State Licensed Sales Supervisor will ensure compliance with suitability and best interest standards for various financial products while providing training and maintaining supervisory procedures.

Key responsibilities

• Conduct principal review and approval for a variety of financial business types, ensuring adherence to suitability standards
• Track quality reports, identify potential issues, and escalate to leadership as necessary
• Develop and provide training on business submission processes and regulatory 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, 24, and 63 or 65 (or Series 66 with Series 7), and Series 51 or 53 (to be obtained within 12 months)
• Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)
• Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)