Sales Supervision Principal

Osaic; Atlanta (GA); Hybrid; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic seeks a Sales Supervision Principal to oversee suitability reviews for non-traded alt investments and related transactions, ensuring investor eligibility and regulatory compliance. You will conduct pre-approval reviews, document analyses, and provide clear recommendations.

Under supervision, you will evaluate transaction qualifications, monitor adherence to firm policies, and support a robust, efficient review process while protecting client interests.

Qualifications

• Basic VA, RILA, FIA annuity & Alternative Investment knowledge.
• 1–2 years related experience.
• FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required.
• Excellent written and verbal communication skills.
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines.
• Analytical and problem-solving skills.

Responsibilities

• Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions
• Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusion
• Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed
• Works with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections
• Stays fully informed of firm rules, guidelines, and procedures, as well as regulatory changes
• Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures
• Keeps timely workflow and ensures regulatory deadlines are met
• Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs)
• All other duties as assigned.

Skills

VA knowledge

RILA knowledge

FIA knowledge

Education

Bachelor’s degree preferred

High school diploma required

Tools

FINRA Series 7

Series 63

Series 24

Job description

Supervision Principal Opportunity in Financial Services

Location(s)

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type

Full-time

Salary

$65,000 – $75,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Summary

The Sales Supervision Principal conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, with a primary focus on non-traded alternative investments, including private placements, Delaware Statutory Trusts (DSTs), exchange funds, non-traded REITs, and other alternative investment offerings. The role also reviews Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements.

Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions, evaluates investor qualification requirements, assesses suitability and best interest considerations, and documents findings, rationale, and approval or rejection decisions. The role ensures transactions are processed in accordance with firm policies and procedures and in compliance with applicable regulatory requirements. Through effective risk assessment and supervisory oversight, the Sales Supervision Principal helps protect clients, First Line Supervisors (FLS), and the firm while supporting a consistent, efficient, and high-quality review process.

Education Requirements

Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions
• Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusion
• Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed
• Works with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections
• Stays fully informed of firm rules, guidelines, and procedures, as well as regulatory changes
• Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures
• Keeps timely workflow and ensures regulatory deadlines are met
• Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs)
• All other duties as assigned.

Basic Requirements

• Basic VA, RILA, FIA annuity & Alternative Investment knowledge
• At least 1 – 2 years related experience
• FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required
• Excellent written and verbal communication skills
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
• Analytical and problem-solving skills

Preferred Requirements

• FINRA Series 65 or Series 66 preferred
• Life & Variable Insurance licenses preferred

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.