Annuity Field Supervisory Director

Edward Jones; Tempe (AZ); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

401k retirement plan

Health, dental, vision benefits

Paid holidays

Job summary

Edward Jones in Tempe, AZ seeks an Annuity Field Supervision Director to supervise annuity transactions, ensure regulatory compliance, and support branch offices with licensing and policy adherence. The role focuses on oversight, education, and collaboration across teams.

The position emphasizes strong communication, risk management, and industry knowledge, with opportunities to influence supervision practices across the firm.

Qualifications

• Active Series 7 license required and currently held for at least 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 experience is strongly preferred.
• Extensive knowledge of annuity products including variable annuities, fixed annuities, equity indexed annuities, single premium immediate annuities, and deferred income annuities.

Responsibilities

• Partner with Financial Advisors and branch teams to build a compliant annuity business.
• Conduct review and approval of annuity order activity and adjust commissions in client accounts when appropriate.
• Coach and educate branch teams on supervisory issues, best practices, and complex client situations related to annuities.
• Routinely contact clients to discuss trade activity and ensure proper disclosures.
• Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and regulators.
• Identify trends in branch activity to determine follow-ups or escalation needs.
• Work in collaboration with internal business areas.

Education

Bachelor's degree in business-related field

Job description

Edward Jones in Tempe, AZ seeks an Annuity Field Supervision Director to supervise annuity transactions, ensure regulatory compliance, and support branch offices with licensing and policy adherence. The role focuses on oversight, education, and collaboration across teams.

The position emphasizes strong communication, risk management, and industry knowledge, with opportunities to influence supervision practices across the firm.