Advisor Group
Supervision Opportunity in Financial Services
Sales Supervision Team Lead
Location(s)
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time Salary: $90,000 - $98,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Summary As a member of our supervision organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. As part of the Sales Supervision team in the broader Operations and Technology Solutions organization, you will work closely with other team members in all aspects of the supervision of annuity and alternative investment transactions. The Team Lead will monitor daily workflows to ensure service levels are met, supporting our team of Sales Supervision Principals and Senior Principals. Additional responsibilities will include technological support, policy monitoring and change proposals, risk mitigation and quality controls supervision. Your contributions will ensure that our Financial Professionals get best-in-class service in every interaction with Osaic.
Education Requirements Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities
Conducts suitability reviews of complex variable annuity transactions and ensures adherence to FINRA Rule 2330, often requiring advanced technical and product knowledge
Performs suitability reviews of Non-Traded Alternative Investment transactions requiring firm pre-approval such as Non-Traded REITs, Managed Futures, and 1031 Exchanges
Acts as the primary suitability consultant for the team of Sales Supervision Principals
Actively determines individual training needs and works with management to implement training
Acts as the primary mentor, technical resource, and coach to other Sales Supervision Principals on team
Performs periodic quality assurance inspections on the transactions that were reviewed by Trade Specialists
Performs research and actively participates in projects as directed by Manager to help monitor, test and improve department policies and procedures to meet Advisor needs and comply with industry regulations
The Team Lead is the first point of contact for escalated issues and transactions. Demonstrating superior relationship management skills and participating in the escalation process for rejected transactions by providing technical product knowledge and regulatory analysis
Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Field Supervision team
Closely monitors daily workflows to ensure service levels are met, the workload is evenly distributed, and ensures regulatory deadlines are met
Remains fully informed of firm rules, guidelines and procedures as well as regulatory changes.
All other duties as assigned
Basic Requirements
FINRA Series 7, 24 (or 9/10), 63 (or 66) required
At least three years related experience in a principal capacity.
Proficient with Windows and Microsoft applications such as Word, Excel, and Outlook.
This role requires someone who is self-motivated and who can motivate others. This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately.
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Excellent communication & organizational skills.
STRONG customer focus orientation.
High attention to detail, analytical mindset, and problem‑solving skills.
Be able to work independently and maintain elevated levels of quality.
Self-motivated individual capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment.
Preferred Requirements
Resident state Life and Variable insurance license.
FINRA Series 65 (or 66) and/or Series 4
Understanding of Pershing and/or NFS systems.
Familiarity with the AFFIRM Platform
Familiarity with the CAIS Platform
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La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time Salary: $90,000 - $98,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Summary As a member of our supervision organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. As part of the Sales Supervision team in the broader Operations and Technology Solutions organization, you will work closely with other team members in all aspects of the supervision of annuity and alternative investment transactions. The Team Lead will monitor daily workflows to ensure service levels are met, supporting our team of Sales Supervision Principals and Senior Principals. Additional responsibilities will include technological support, policy monitoring and change proposals, risk mitigation and quality controls supervision. Your contributions will ensure that our Financial Professionals get best-in-class service in every interaction with Osaic.
Education Requirements Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities
Conducts suitability reviews of complex variable annuity transactions and ensures adherence to FINRA Rule 2330, often requiring advanced technical and product knowledge
Performs suitability reviews of Non-Traded Alternative Investment transactions requiring firm pre-approval such as Non-Traded REITs, Managed Futures, and 1031 Exchanges
Acts as the primary suitability consultant for the team of Sales Supervision Principals
Actively determines individual training needs and works with management to implement training
Acts as the primary mentor, technical resource, and coach to other Sales Supervision Principals on team
Performs periodic quality assurance inspections on the transactions that were reviewed by Trade Specialists
Performs research and actively participates in projects as directed by Manager to help monitor, test and improve department policies and procedures to meet Advisor needs and comply with industry regulations
The Team Lead is the first point of contact for escalated issues and transactions. Demonstrating superior relationship management skills and participating in the escalation process for rejected transactions by providing technical product knowledge and regulatory analysis
Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Field Supervision team
Closely monitors daily workflows to ensure service levels are met, the workload is evenly distributed, and ensures regulatory deadlines are met
Remains fully informed of firm rules, guidelines and procedures as well as regulatory changes.
All other duties as assigned
Basic Requirements
FINRA Series 7, 24 (or 9/10), 63 (or 66) required
At least three years related experience in a principal capacity.
Proficient with Windows and Microsoft applications such as Word, Excel, and Outlook.
This role requires someone who is self-motivated and who can motivate others. This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately.
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Excellent communication & organizational skills.
STRONG customer focus orientation.
High attention to detail, analytical mindset, and problem‑solving skills.
Be able to work independently and maintain elevated levels of quality.
Self-motivated individual capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment.
Preferred Requirements
Resident state Life and Variable insurance license.
FINRA Series 65 (or 66) and/or Series 4
Understanding of Pershing and/or NFS systems.
Familiarity with the AFFIRM Platform
Familiarity with the CAIS Platform
#J-18808-Ljbffr