Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.Key Responsibilities:
Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant annuity business
Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate
Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products
Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
Work in collaboration with internal business areas
Series 7 license required that is currently active and held for a minimum of one year
Series 9, 10, 24, 63 or 66 and insurance licenses required or must be obtained within four months of hire
Compliance oversight, risk management, or supervisory related experience is strongly preferred
Extensive knowledge of various annuity products including variable annuities, fixed annuities, equity indexed annuities, single premium immediate annuities, and deferred income annuities
Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
Must demonstrate strong conflict-management, problem solving and independent decision making skills
Ability to work in a dynamic fast paced environment
Excellent verbal and written communication skills
Bachelor's degree in business-related field is preferred, but not required
Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity