Sales Supervision Principal

Osaic; Scottsdale (AZ); Hybrid; USD 65,000 - 75,000; Full time

Job summary

Osaic in Scottsdale seeks a Sales Supervision Principal to conduct suitability reviews for VA, RILA, FIA, and other investments, ensuring approvals align with firm policies.

Under guidance, you will analyze transactions, document findings, and render approval or rejection decisions. The role requires 1–2 years of related experience and FINRA licenses, with a hybrid schedule in the office four days weekly.

Qualifications

• Bachelor's degree preferred or equivalent experience in financial services
• Minimum of 1–2 years related experience in financial services
• FINRA licenses required: Series 7, 63, and 24 (or 66/8/9/10 alternates)
• Excellent written and verbal communication skills
• Ability to manage multiple tasks in a fast-paced environment
• Strong analytical and problem-solving abilities

Responsibilities

• Reviews daily submissions for suitability and compliance with firm policies
• Completes data entry into the supervision pre-approval platform with analysis and communications
• Provides written recommendations of approval or rejection after thorough analysis
• Collaborates with Senior Trade Specialist and Team Lead on escalated issues
• Keeps informed of firm rules, guidelines, and regulatory changes
• Monitors internal controls and ensures regulatory deadlines are met
• Maintains relationships with Advisors and Regional Managers
• Executes other duties as assigned

Skills

Annuity knowledge

FINRA Series 7

FINRA Series 63

FINRA Series 24

Communication skills

Analytical skills

Multitasking

1–2 years experience

Education

Bachelor's degree preferred

High school diploma or equivalent

Job description

Supervision Principal Opportunity in Financial Services

Sales Supervision Principal

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.

Summary

The Sales Supervision Principal conducts suitability reviews of businesses requiring firm pre‑approval, including, but not limited to, Variable Annuity (VA), Registered Index‑Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements and non‑traded alternative investment purchases. Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions and documents findings, rationale, and provides approval/rejection decisions. Ensures business is processed in accordance with the firm's policies and procedures and in compliance with regulatory requirements to protect the client, the First Line Supervisor (FLS), and the firm.

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