Sales Supervision Principal

Transamerica • Cedar Rapids, IA

3d • $55,000 - $67,000

About The Position

Conduct suitability review of new business and provide compliance oversight of registered representatives.

Requirements

• Bachelor’s degree in finance or business-related field, or equivalent work experience.
• Two years of suitability or best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7
• FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Strong written and verbal communication skills.
• Analytical and decision-making skills.
• Attention to detail.
• Proficiency using MS Office (Word, Excel).

Responsibilities

• Conduct and oversee account reviews for client’s best interest.
• Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.
• Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.
• Review calls and call reports for quality and adherence of business guidelines.
• Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
• Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.
• Assist with the regulatory requirement of advisory annual reviews.
• Assist with licensing and registration.
• Email and correspondence review.
• Perform special supervisory reviews as assigned.

Benefits

• Competitive Pay
• Bonus for Eligible Employees
• Benefits Package
• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities
• Health and Work/Life Balance Benefits
• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs

What This Job Offers

• Job Type: Full-time
• Career Level: Principal
• Number of Employees: 5,001-10,000 employees