Hybrid Financial Services Sales Compliance Principal

Advisor Group Inc.; Scottsdale (AZ); Hybrid; USD 65,000 - 75,000; Full time

Job summary

Advisor Group Inc. is seeking a Sales Supervision Principal in financial services to ensure compliance in transactions involving variable annuities. This role offers a hybrid work model with a minimum of four days in the office, based in various locations including Scottsdale.

The ideal candidate will possess strong analytical skills and 1–2 years of relevant experience. A Bachelor’s degree is preferred but significant experience may also be considered. Key responsibilities include reviewing transactions, collaborating with advisors, and ensuring adherence to regulatory requirements.

Qualifications

• Bachelor’s degree preferred; high school diploma with significant experience considered.
• 1–2 years related experience required.
• Excellent written and verbal communication skills.

Responsibilities

• Review assigned transactions for compliance.
• Complete data entry into the platform.
• Provide written recommendations based on suitability analysis.
• Collaborate on escalated issues.
• Monitor compliance with industry standards.

Skills

Knowledge of VA, RILA, FIA annuity

Communication skills

Analytical skills

Problem-solving skills

Ability to prioritize tasks

Education

Bachelor's degree

High school diploma or equivalent

Tools

FINRA Series 7

FINRA Series 63 or 66

FINRA Series 24, 8, or 9/10

Job description

Advisor Group Inc. is seeking a Sales Supervision Principal in financial services to ensure compliance in transactions involving variable annuities. This role offers a hybrid work model with a minimum of four days in the office, based in various locations including Scottsdale.

The ideal candidate will possess strong analytical skills and 1–2 years of relevant experience. A Bachelor’s degree is preferred but significant experience may also be considered. Key responsibilities include reviewing transactions, collaborating with advisors, and ensuring adherence to regulatory requirements.