Compliance Supervision Lead: Annuities & Reg BI Hybrid

NewEdge Wealth, LLC; New Orleans (LA); Hybrid; USD 90,000 - 100,000; Full time

Job summary

NewEdge Securities, a securities firm, seeks a Sr Associate, Compliance Supervision in New Orleans. The role oversees the supervisory program, including principal review of transactions, annuity supervision, and escalation of supervisory questions from reps and branch principals.

Responsibilities include maintaining WSPs, conducting surveillance, licensing coordination, and supporting FINRA/SEC examinations. Hybrid in LA or Pittsburgh; remote candidates considered.

Qualifications

• Active FINRA Series 24 within 90 days of hire.
• Series 7 and 63; Series 66 or 65 preferred.
• Active life and variable contract insurance license within 90 days.
• 5+ years in broker-dealer compliance or supervision.
• Working knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchanges.
• Clean regulatory record.

Responsibilities

• Maintain WSPs for supervised lines including annuity sales, exchanges, and 1035 transfers.
• Run periodic surveillance and close exceptions.
• Coordinate licensing and appointments to ensure proper licensing before sales.
• Review and approve transactions with documented rationale.
• Evaluate annuity applications and charges under Rule 2330 and Reg BI.
• Support regulatory examinations and required reporting.

Skills

Sound judgment on suitability

Direct feedback to representatives

Analytical skills

Written and verbal communication

Education

Bachelor's degree in business, finance, or related field

Tools

Raymond James platform

Job description

NewEdge Securities, a securities firm, seeks a Sr Associate, Compliance Supervision in New Orleans. The role oversees the supervisory program, including principal review of transactions, annuity supervision, and escalation of supervisory questions from reps and branch principals.

Responsibilities include maintaining WSPs, conducting surveillance, licensing coordination, and supporting FINRA/SEC examinations. Hybrid in LA or Pittsburgh; remote candidates considered.