Remote Compliance Supervisor, FINRA & Reg BI (Series 24)

NewEdge Capital Group; New Orleans, Pittsburgh (LA, Allegheny County); Hybrid; USD 90,000 - 100,000; Full time

Job summary

NewEdge Capital Group is seeking a Sr Associate, Compliance Supervision for a remote/us-based role with hybrid options in New Orleans, LA or Pittsburgh, PA. Responsibilities include supervising the firm’s compliance program, reviewing transactions for suitability and regulatory compliance, and overseeing annuities under Rule 2330 and Reg BI.

The role requires active FINRA Series 24, Series 7/63 (66/65 preferred), and a life/annuity license (or ability to obtain within 90 days).

Qualifications

• Active FINRA Series 24 registration or ability to obtain within 90 days
• Series 7 and Series 63; Series 66 or 65 preferred
• Active life and variable contract insurance license or ability to obtain within 90 days in resident state
• 5+ years in broker-dealer compliance, supervision, or operations including annuity/insurance supervision
• Working knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchange mechanics, and NAIC best interest requirements
• Clean regulatory record (U4 disclosure review)

Responsibilities

• Own the Supervisory Program and maintain WSPs for annuity sales and 1035 transfers
• Review and approve transactions and exceptions with documented rationale
• Oversee annuity supervision including surrender charges and rider costs
• Provide training on Reg BI, Rule 2330, and annuity replacement requirements
• Coordinate with operations, licensing, and carriers; respond to examinations and regulatory requests

Skills

Reg BI knowledge

Analytical skills

Communication skills

Decision making

Education

Bachelor’s degree in business/finance

Tools

Raymond James platform

Job description

NewEdge Capital Group is seeking a Sr Associate, Compliance Supervision for a remote/us-based role with hybrid options in New Orleans, LA or Pittsburgh, PA. Responsibilities include supervising the firm’s compliance program, reviewing transactions for suitability and regulatory compliance, and overseeing annuities under Rule 2330 and Reg BI.

The role requires active FINRA Series 24, Series 7/63 (66/65 preferred), and a life/annuity license (or ability to obtain within 90 days).