Sales Supervision 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

Overview

Position: Sales Supervision Principal – Financial Services Sales Supervision Principal.

Location: Atlanta (2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339), La Vista, Oakdale, Scottsdale, and St. Petersburg – applicants must be located at one of these hubs. Osaic requires a hybrid schedule with a minimum of four days per week in the office.

Role Type: Full‑time. Salary: $65,000–$75,000 per year plus an annual bonus; compensation is determined individually based on location, skills, licensure, experience, and education.

The role involves reviewing the suitability of variable annuity, registered index‑linked annuity, fixed indexed annuity, and alternative investment transactions.

Responsibilities

• Ensure proper business and sales practices by reviewing assigned transactions and working with advisors to address deficiencies.
• Complete data entry into the Sales Supervision pre‑approval platform and document analysis, communications, and resolution of deficiencies.
• Provide written recommendation of approval or rejection after a thorough suitability analysis.
• Collaborate with Senior Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections.
• Stay fully informed of firm rules, guidelines, regulatory changes, and internal controls.
• Monitor, report, and enforce internal controls to ensure compliance with industry standards and the firm’s policies.
• Maintain a timely workflow and meet regulatory deadlines.
• Maintain a positive relationship with Advisors, First‑Line Supervisors, Regional Vice Presidents, and Regional Sales Managers.
• Other duties as assigned.

Education and Experience Requirements

• Bachelor’s degree preferred; a high school diploma or equivalent with significant experience will be considered.
• Minimum of high school diploma or equivalent is required.

Basic Requirements

• Basic knowledge of VA, RILA, FIA annuity and alternative investment.
• 1–2 years related experience.
• FINRA Series7, Series63 (or Series66), and Series24 (or Series8 or 9/10) required.
• Excellent written and verbal communication skills.
• Strong ability to handle and prioritize multiple tasks in a fast‑paced environment to meet deadlines.
• Analytical and problem‑solving skills.

Preferred Requirements

• FINRA Series65 or Series66.
• Life and variable insurance licenses.