Do you have a true interest in investing and the rules and regulations of the securities industry? Do you also enjoy working from home? If so, the Supervision and Business Risk (“SaBR”) team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will have the ability to build positive relationships with both the local agency management team and our field rep’s while also working as a mentor in a high volume, fast paced environment. In this role, the supervision advisor will be expected to use their knowledge and application of the laws, regulations, products and ethical standards of the securities industry to ensure the best interests of the client are being met. The candidate will have the opportunity to work with new account reviews both on and off platform, risk/return metrics, asset allocation and alternative investments within discretionary accounts. This position reports to the Manager of the Supervision and Business Risk team.You will
Responsible for making independent suitability decisions when approving of all Investment Advisor accounts at account opening (including the review of Advice Capture within PAS approved systems).
Consistently enforces Investment Advisory platform compliance policies and guidelines and escalates concerns when it is appropriate to do so.
Working closely with agency management and field reps by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations.
Asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations.
Communicating effectively (both written and oral) with agency management and field reps using clear, concise, and understandable language.
Partner with branch exam partners for field reviews.
Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available.
You have
Must have Series 7, 24 or 9/10 (or equivalent) and 63/65 or 66
Record of increasing responsibility in compliance and/or supervisory functions
Proficient in MS Office skills including Excel, SharePoint, Word and Power Point.
Excellent verbal and written communications skills
Ability to manage multiple projects and meet deadlines
Strong knowledge of FINRA, SEC, and State rules and regulations
Strong knowledge of variable annuities, structured notes, mutual funds and other financial products
Personable and reliable self-starter who requires minimal oversight for day-to-day responsibilities, works effectively as part of a team as well as independently and implements feedback in an effective manner
Preferred
Series 4 and/or 53 is a plus
Salary Range$56,680.00 - $85,015.00The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.Our PromiseAt Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.Inspire Well-BeingAs part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.Health Care
Choice of [high deductible/copay] medical plans with prescription drugs, including coverage for fertility and transgender inclusive benefits
Dental plan
Vision plan
Health care accounts – flexible spending, health reimbursement, and health savings accounts
Critical illness insurance
Life and Disability Insurance
Company-paid Life and Disability insurance plus voluntary supplemental coverage
Accident insurance
Retirement and Financial
401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable
Complimentary 1:1 financial guidance with a licensed Fidelity representative
Time Off and Remote Work
Flexible work arrangements (part in-person/part remote)
Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement
Personal holidays for colleagues to use in recognition of religious, cultural, or civic days
Paid parental leave and paid family and medical leave policies
Emotional Well-being and Work-Life
Emotional well-being, mental health, and work/life resources powered by Spring Health
Wellness programs, including fitness program and equipment reimbursement
Child, adult, and elder back-up care support through Bright Horizons
Adoption assistance
College planning
Tuition reimbursement
Student loan assistance
Commuter benefits in select metropolitan areas
Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.Equal Employment OpportunityGuardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.AccommodationsGuardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact [email protected] .Every day, Guardian helps our 29 million customers realize their dreams through a range of insurance and financial products and services. Our Purpose, to inspire well-being, guides our dedication to the colleagues, consumers, and communities we serve. We know that people count, and we go above and beyond to prepare them for the life they want to live, focusing on their overall well-being — mind, body, and wallet. As one of the largest mutual insurance companies, we put our customers first. Behind every bright future is a GuardianTM. Learn more about Guardian at guardianlife.com .