Agency Supervisory Officer

NFP Corp•New York, NY

8d•$92,300 - $147,800

About The Position

The Agency Supervisory Officer (ASO) reports to the designated supervisory leader and supports the firm’s supervisory framework, focusing on investment suitability, principal review, regulatory compliance, and risk mitigation. The role helps ensure supervisory decisions are timely, consistent, and well documented. The ASO evaluates transactions, product recommendations, account features, and investment strategies; conducts principal reviews; monitors supervisory activity and risk indicators; and coordinates exception reviews, escalations, corrective action, and follow-up.

Requirements

Bachelor’s degree in Business Administration, Finance, or a related field, or equivalent experience.
At least 5 years of experience in financial services, insurance, or agency operations.
At least 2 years of experience in a supervisory or compliance-focused role.
Active FINRA Series 7, Series 24, Series 53 (or equivalent supervisory licenses), and Series 63 licenses.
Strong knowledge of state and federal regulations governing insurance and securities activities.
Sound principal judgment and consistent application of policy.
Strong analytical, research, documentation, and risk-identification skills.
Clear written and verbal communication with clients, representatives, and business partners.
Ability to manage multiple priorities and recurring deadlines with attention to detail.
Proficiency with standard business, supervisory, and compliance systems.

Nice To Haves

FINRA Series 65 or Series 66 license.

Responsibilities

Evaluate transactions, product recommendations, account features, and investment strategies for suitability and compliance with firm requirements.
Provide principal review and approval for designated products, including complex products.
Conduct client or third-party outreach when additional validation is needed to support a supervisory decision.
Document review outcomes, conditions, approvals, and required follow-up.
Monitor supervisory activity, transaction alerts, account exceptions, and other risk indicators to identify patterns or potential concerns.
Research identified issues, coordinate corrective action, address customer concerns, or apply disciplinary standards when appropriate.
Maintain required supervisory logs, reviews, approvals, and documentation according to established schedules.
Analyze trends and prepare recurring or targeted reports to support risk assessment and supervisory priorities.
Monitor improved supervision arrangements and other risk-based controls for continued efficiency.
Review exception requests, gather supporting information, and coordinate decisions with appropriate stakeholders.
Serve as an escalation resource for complex supervisory matters and facilitate timely resolution.
Coordinate required client, representative, and Home Office follow-up, including corrective action and account-status changes.
Maintain complete records of correspondence, decisions, and resolution steps.