Senior Compliance Supervisor, Annuity & Reg BI Oversight

NewEdge Capital Group LLC; Pittsburgh (Allegheny County); Ibrido; USD 90.000 - 100.000; Tempo pieno

Vantaggi offerti da questo lavoro

Health insurance

Dental insurance

Vision insurance

Disability insurance

Life insurance

Paid time off

Parental leave

401(k) match

Voluntary benefits

Descrizione del lavoro

NewEdge Securities is seeking a Series 24 Compliance Supervisor to oversee the firm's supervisory program, including principal review, surveillance, and annuity supervision under FINRA Rule 2330 and Reg BI. This role supports regulatory examinations and coordinates licensing and disclosures across channels.

Location: Hybrid in Pittsburgh, PA or New Orleans, LA with remote candidates considered. Compensation includes a base salary range of $90,000–$100,000 plus a bonus program.

Competenze

• 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 supervision of annuity or insurance 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 supervised lines incl. annuity sales and 1035 transfers
• Run periodic surveillance using custodian and carrier reports; address exceptions
• Coordinate licensing and carrier appointments to ensure proper licensing before product sales
• Review and approve transactions with documented rationale; escalate deficient submissions
• Monitor annuity applications, exchanges, replacements, and premiums under Rule 2330 and Reg BI
• Provide training on Reg BI and supervision topics; document corrective actions
• Support FINRA/SEC exams and regulatory reporting
• Report supervision metrics to CCO and senior management

Conoscenze

Reg BI knowledge

Series 24

Series 7/63/66

Annuity supervision

Surveillance & review

Problem solving

Training & coaching

Formazione

Bachelor's degree in Business/Finance

CFP/CRCP designation

Strumenti

Raymond James

WSP development

Descrizione del lavoro

NewEdge Securities is seeking a Series 24 Compliance Supervisor to oversee the firm's supervisory program, including principal review, surveillance, and annuity supervision under FINRA Rule 2330 and Reg BI. This role supports regulatory examinations and coordinates licensing and disclosures across channels.

Location: Hybrid in Pittsburgh, PA or New Orleans, LA with remote candidates considered. Compensation includes a base salary range of $90,000–$100,000 plus a bonus program.