Licensed Sales Supervisor
American Independent Securities Group, Eagle, ID, United States
As a Licensed Sales Supervisor, you will be the primary point of contact for the first-line-of-defense review of customer accounts and product recommendations. Operating within our dually registered Broker-Dealer and RIA, you will ensure that all activity meets FINRA suitability standards and Regulation Best Interest (Reg BI) requirements. This role requires a balance of regulatory rigor and a collaborative approach to support our Financial Professionals in delivering compliant investment solutions.
Key Responsibilities
Supervisory Review: Execute the first-line-of-defense review and approval for new account openings, ensuring all documentation meets firm, AML, and KYC standards.
Suitability & Reg BI Oversight: Evaluate brokerage and advisory recommendations (including Mutual Funds, ETFs, and Variable Annuities) to ensure they align with the client’s best interest and documented risk profile.
Professional Coaching: Act as a resource for Financial Professionals, providing guidance on firm policies, documentation requirements, and regulatory "Best Interest" obligations.
Trade Blotter Surveillance: Monitor daily trade activity and investment shifts to identify and mitigate potential conflicts of interest or suitability concerns.
Cross-Departmental Collaboration: Work closely with Compliance and Operations teams throughout AISG to streamline review processes and update Written Supervisory Procedures (WSPs).
Resolution Management: Address and resolve flagged items or inquiries from the field, ensuring a high level of service while maintaining strict adherence to compliance standards.
Required Qualifications
Licensing: Active FINRA Series 24 (General Securities Principal) is required. (Active Series 7 and 63/66 are standard prerequisites).
Experience: Minimum of 2+ years of experience in a sales supervision, principal review, or compliance role.
Regulatory Knowledge: Proficiency in Regulation Best Interest (Reg BI) and a strong understanding of the differences between Broker-Dealer suitability and RIA fiduciary standards.
Preferred Skills
Communication: Strong verbal and written skills to effectively communicate complex regulatory requirements to sales staff.
Analytical Depth: Ability to assess complex products (e.g., Alts, VAs) and determine their appropriateness for various client segments.
Tech Savvy: Familiarity with trade surveillance and CRM software (e.g., Salesforce, Redtail, or Envestnet).
401(k) with company matching
Health insurance
Vision insurance
Paid time off
Hours of operation for this position are 7 AM – 4 PM MST, Monday through Friday.
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Key Responsibilities
Supervisory Review: Execute the first-line-of-defense review and approval for new account openings, ensuring all documentation meets firm, AML, and KYC standards.
Suitability & Reg BI Oversight: Evaluate brokerage and advisory recommendations (including Mutual Funds, ETFs, and Variable Annuities) to ensure they align with the client’s best interest and documented risk profile.
Professional Coaching: Act as a resource for Financial Professionals, providing guidance on firm policies, documentation requirements, and regulatory "Best Interest" obligations.
Trade Blotter Surveillance: Monitor daily trade activity and investment shifts to identify and mitigate potential conflicts of interest or suitability concerns.
Cross-Departmental Collaboration: Work closely with Compliance and Operations teams throughout AISG to streamline review processes and update Written Supervisory Procedures (WSPs).
Resolution Management: Address and resolve flagged items or inquiries from the field, ensuring a high level of service while maintaining strict adherence to compliance standards.
Required Qualifications
Licensing: Active FINRA Series 24 (General Securities Principal) is required. (Active Series 7 and 63/66 are standard prerequisites).
Experience: Minimum of 2+ years of experience in a sales supervision, principal review, or compliance role.
Regulatory Knowledge: Proficiency in Regulation Best Interest (Reg BI) and a strong understanding of the differences between Broker-Dealer suitability and RIA fiduciary standards.
Preferred Skills
Communication: Strong verbal and written skills to effectively communicate complex regulatory requirements to sales staff.
Analytical Depth: Ability to assess complex products (e.g., Alts, VAs) and determine their appropriateness for various client segments.
Tech Savvy: Familiarity with trade surveillance and CRM software (e.g., Salesforce, Redtail, or Envestnet).
401(k) with company matching
Health insurance
Vision insurance
Paid time off
Hours of operation for this position are 7 AM – 4 PM MST, Monday through Friday.
#J-18808-Ljbffr