Sr Sales Supervision Principal - Advice Center

Transamerica • Cedar Rapids, IA

3d • $70,000 - $85,000 • Onsite

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.
• Five years of suitability/best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7, 63, 26, and 24
• FINRA Series 65 or 66, or obtained within 6 months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Ability to analyze complex issues and recommend solutions.
• Strong written and verbal communication skills.
• Attention to detail.
• Proficiency in MS Office (Word, Excel).

Responsibilities

• Conduct and oversee account reviews for client’s best interest.
• Preapprove complex products prior to distribution to clients.
• Provide compliance training and guidance.
• Ensure adherence to business line processes and controls.
• Track and assist with investment issues and complaints.
• Track quality reports and identifying potential issues.
• Manage OSJ files for RIA, broker/dealer and insurance agency.
• Certify the regulatory requirement for the RIA are being completed.
• Assist with licensing and registration issues.
• Investigate regulatory violations, sales practice improprieties, or other policy violations.
• Assist with the preparation for regulatory audits.
• Perform Principal guidance and training, and provide supervisory feedback.

Benefits

• Competitive Pay
• Bonus for Eligible Employees
• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities
• 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: Senior