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 Annuity Field Supervision Teams are accountable for the supervision of annuity transactions taking appropriate actions consistent with firm and industry guidelines. This position is accountable for leading a team of Annuity Field Supervision Directors who provide help to our branch offices and internal departments. Key Responsibilities:
Oversee the performance of an Annuity Field Supervision team
Set clear expectations to ensure that reasonable supervision is being conducted by the team
Manage the day-to-day workflow of the team
Ensure that team members receive the training and development needed to become and remain effective team members
Conduct regular oversight of FSD work to ensure that reasonable supervision is taking place
Review and approve client contacts
Review expense reports to ensure that firm resources are being used wisely
Steer complex and/or technical projects and assist in the development of supervisory systems
Represent the department to other business areas of the firm, industry regulators, participate in sales practice exams, testify during FINRA arbitration cases, and participate in industry conferences
Promote professional standards that are with the firm culture as well as the department's stated mission and priorities
Provide guidance regarding complex supervisory judgments that may involve some level of rule interpretation.
Series 7 and 66 (or equivalent) required (Series 7 must be held for a minimum of 2 years)
Series 9 and10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
Securities industry experience and/or compliance experience is preferred
Bachelor's degree preferred
This position requires excellent product knowledge and knowledge of both industry regulations and firm policies and supervisory systems
Proven verbal and written communication skills
Ability to give effective coaching and feedback
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity