Senior Compliance Supervisor – Annuity & Reg BI

NewEdge Capital Group LLC; New Orleans (LA); Ibrido; USD 90.000 - 100.000; Tempo pieno

Vantaggi offerti da questo lavoro

Health insurance

Dental coverage

Vision insurance

Disability insurance

401(k) match

Descrizione del lavoro

NewEdge Capital Group seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, annuity supervision, and support for regulatory examinations. The role enforces FINRA Rule 3110 and Reg BI standards and serves as an escalation point for supervisory questions from reps and branch principals.

Hybrid in New Orleans or Pittsburgh; remote considered.

Competenze

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

Mansioni

• Maintain written supervisory procedures for the firm's supervised lines (incl. annuity sales, exchanges, and 1035 transfers)
• Run periodic surveillance using custodian and carrier reports; follow exceptions to closure
• Coordinate with registration, licensing, and carrier-appointment processes to confirm reps are licensed/appointed before products are sold
• Review and approve transactions and exceptions escalated for principal approval with documented rationale
• Resolve items with reps, custodians, and carriers before approval; reject or elevate deficient submissions
• Review and approve annuity applications, exchanges, replacements, and premium payments under Rule 2330/Reg BI with rationale
• Evaluate surrender charges, rider costs, liquidity needs, and time horizon for clients
• Monitor annuity replacement rates, short-holding-period exchanges, and branch concentration
• Serve as escalation point for annuity-related supervisory questions from reps and principals
• Deliver training on Reg BI, Rule 2330, and supervisory topics
• Document corrective action, heightened supervision plans, and disciplinary referrals
• Review communications, marketing materials, and client illustrations for approvals as appropriate
• Support FINRA/SEC/state examinations and regulatory requests
• Investigate and document customer complaints; assist with regulatory reporting
• Partner with Operations on processing, NIGO exceptions, and funds movement
• Report supervision metrics and emerging risks to the CCO and senior management

Conoscenze

Reg BI

Rule 3110

Rule 2330

Annuity supervision

NAIC best interest

Formazione

Bachelor's degree in business/finance

Strumenti

Raymond James platform

Descrizione del lavoro

NewEdge Capital Group seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, annuity supervision, and support for regulatory examinations. The role enforces FINRA Rule 3110 and Reg BI standards and serves as an escalation point for supervisory questions from reps and branch principals.

Hybrid in New Orleans or Pittsburgh; remote considered.