Sales Supervision Manager - Annuities
About The Position
The Annuity Supervision Team provides oversight of annuity and insurance business activities in a dynamic, fast-paced environment, supporting advisors and clients. Sales Supervision Managers conduct supervisory reviews of advisor interactions with clients and prospects, including recommendations and sales of annuity and insurance products. They apply subject matter expertise, regulatory knowledge, and analytical skills to evaluate suitability, mitigate risk, and promote sound business practices. The role includes regular collaboration with advisors and field leaders, professional communication, and synthesizing information from multiple systems to make informed decisions. Successful candidates are analytical, collaborative, and adaptable, with an interest in evolving regulatory and industry trends.
Requirements
- Bachelor's degree or equivalent.
- At least 5 years of relevant work experience; relevant experience may include financial services, customer service, communications, education, or other experience developing skills needed for the role.
- Active Securities Industry Essentials (SIE) license.
- Active Series 7 license or ability to obtain it within 120 days.
- Active Series 24 license or ability to obtain it within 90 additional days.
- Additional licenses may be required depending on function, or the ability to obtain them.
- Valid work authorization that does not now or in the future require visa sponsorship for employment in the United States.
Nice To Haves
- Problem-solving and analytical skills, including the ability to analyze complex issues effectively.
- Good judgment when making decisions on complex matters without clear answers.
- Strong written and verbal communication skills, including the ability to deliver unfavorable messages.
- Ability to influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload across multiple tools and processes, including prioritizing and monitoring pending cases.
- Technical product knowledge related to annuities.
- Strong knowledge of FINRA, SEC, and other regulatory bodies' rules relevant to applicable product lines.
Responsibilities
- Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.
- Determine whether to approve or reject new applications.
- Communicate with advisors and field leaders to complete supervisory reviews of business activity.
- Improve advisor policy adherence through coaching and training.
- Communicate with clients, when needed, regarding activity to determine suitability.
- Serve as a subject matter expert by providing information and research to business partners.
- Support efforts to innovate and improve the effectiveness and efficiency of processes.
- Stay updated on regulatory changes and the competitive landscape, including new regulations and product offerings.
- Help maintain the overall health of the team, including establishing individual development goals and participating in team activities.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.
Benefits
- Vacation time
- Sick time
- 401(k)
- Health insurance
- Dental insurance
- Life insurance
- Variable pay may be available in the form of bonuses, commissions, and/or long-term incentives, depending on the role.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
