Sales Supervision Principal
Location: Scottsdale, AZ
Job Type: Direct Hire
Company: TRC Talent Solutions
Salary: $65,000 - $75,000 Per Year
Category: Financial Services
Job Description Apply Now
The Sales Supervision Principal plays a pivotal role in maintaining compliance and upholding the highest standards of conduct within a prominent wealth management firm. This opportunity is ideal for professionals seeking to advance their careers in financial services, particularly those with a focus on annuity products and alternative investments. As a Sales Supervision Principal, you will be responsible for conducting thorough suitability reviews of complex financial transactions, ensuring that all business processed by the firm aligns with both internal policies and external regulatory requirements. This position offers a dynamic work environment and the chance to collaborate with experienced teams, including Department Managers, Team Leads, and Senior Trade Specialists.
Operating within the framework of established company guidelines, the Sales Supervision Principal meticulously reviews initial purchases and replacements of Variable Annuities (VA), Registered Index-Linked Annuities (RILA), Fixed Indexed Annuities (FIA), and non-traded alternative investments. You will be tasked with researching and analyzing proposed transactions, documenting findings, providing clear rationales for decisions, and issuing approval or rejection recommendations. The role demands exceptional attention to detail and a commitment to safeguarding both the interests of clients and the reputation of the firm.
Throughout the review process, the Sales Supervision Principal works closely with advisors, First Line Supervisors (FLS), and the broader supervision team to address any deficiencies and ensure that all business practices adhere to legal and ethical standards. Additionally, you will be expected to stay up to date with evolving regulatory changes, internal controls, and company procedures, using your expertise to monitor and enforce compliance across all assigned transactions. The position also involves maintaining positive relationships with Advisors, Supervision of Regional Vice Presidents (SRVPs), and Regional Sales Managers (RSMs) to foster a collaborative and supportive work environment.
If you are passionate about compliance, possess strong analytical skills, and have a background in financial supervision, the Sales Supervision Principal role is an excellent opportunity to further develop your expertise and contribute meaningfully to a leading wealth management organization. Qualified candidates are encouraged to apply now by clicking the application button to take the next step in their career journey.
Sales Supervision Principal - Summary- Ensures suitability and compliance of complex financial transactions, including annuities and alternative investments
- Collaborates with internal teams and advisors to address deficiencies and uphold firm standards
- Provides clear recommendations based on comprehensive research and analysis
- Maintains accurate documentation and workflow to meet regulatory deadlines
- Contributes to a culture of compliance and ethical business conduct
- Conduct daily reviews of all assigned financial transactions for compliance and suitability
- Work directly with advisors to resolve deficiencies and ensure proper business practices are followed
- Document findings, rationale, and outcomes in the Sales Supervision pre-approval platform
- Issue written recommendations for transaction approval or rejection after thorough analysis
- Collaborate with Senior Trade Specialists, Team Leads, and Managers on escalated issues
- Monitor, report, and enforce internal controls to guarantee compliance with industry standards and company policies
- Stay informed of regulatory updates and changes to firm guidelines
- Maintain positive relationships with Advisors, FLS, SRVPs, and RSMs
- Ensure timely workflow and adherence to regulatory deadlines
- Perform other related duties as assigned
- Competitive compensation commensurate with experience and qualifications
- Comprehensive benefits package offered by the wealth management firm
- Opportunities for professional development and career advancement
- Supportive and inclusive work environment
- Bachelor's degree preferred; high school diploma or equivalent with relevant experience considered
- Minimum of 1-2 years related experience in financial supervision or compliance
- Strong knowledge of VA, RILA, FIA annuities, and alternative investments
- FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) required
- Excellent communication skills, both written and verbal
- Ability to manage and prioritize multiple tasks in a fast-paced environment
- Strong analytical, organizational, and problem-solving skills
- Preferred: FINRA Series 65 or Series 66, Life & Variable Insurance licenses
- Detail-oriented and committed to upholding regulatory standards
- Proven track record in financial transaction supervision
- Effective collaborator with a customer-focused mindset
- Adaptable to change and proactive in continuous learning
- Motivated to grow within a reputable wealth management organization
- This position is offered by TRC Talent Solutions, a leading staffing partner in the financial services sector
- Equal Opportunity Employer (EOE): All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law
- TRC Talent Solutions is committed to connecting individuals with meaningful work opportunities and supporting their career growth
- Apply now by clicking the job application button to join a respected wealth management firm as a Sales Supervision Principal