Annuity Supervision Specialist – Complex Products

Cetera • Dallas, TX

5d • Onsite

About The Position

The Supervision Specialist position offers a unique opportunity for seasoned industry professionals to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical-thinking and communication skills, who has the ability to work within a fast-paced, time-sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services.

Requirements

• FINRA Series 7, 24 and 63 securities licenses. FINRA 65 or 66 and Insurance license is required within the first 6 months.
• Minimum 2-5 years supervisory or compliance experience
• Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
• Deep understanding of industry rules governing transactions and suitability
• Superior written and verbal communication skills
• Must be able to work in a team environment and support other colleagues as needed. Cross training with other employees within the team is required.
• Must be able to prioritize and handle multiple tasks and deadlines simultaneously
• Desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole

Nice To Haves

• Annuity investment suitability review experience preferred
• Four-year college degree preferred

Responsibilities

• Timely review of surveillance and suitability determinations for variable annuity, equity-indexed annuities, & fixed annuities and activities conducted by persons under the firm’s supervision.
• Approve responses to surveillance alerts by reviewing client information, account activity, documentation and client disclosure letters.
• Complete new projects for the Supervision Team as assigned.
• Assist with the fulfillment of document requests during regulatory audits and other regulatory and legal inquiries.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Education Level: Associate degree