Senior Compliance Supervisor — Annuity & Reg BI (Remote)

NewEdge Wealth, LLC; New Orleans, Pittsburgh (LA, Allegheny County); Híbrido; USD 90.000 - 100.000; Jornada completa

Descripción de la vacante

NewEdge Securities, a subsidiary of NewEdge Wealth, seeks a Sr Associate, Compliance Supervision (Remote, USA) to lead the supervisory program, including principal review of transactions and annuity oversight under FINRA Rule 2330 and Reg BI.

The role supports FINRA, SEC, and state examinations, serving as an escalation point for supervisory questions from registered representatives and branch principals, with hybrid/remote work options in the USA.

Formación

• 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 insurance license or ability to obtain within 90 days.

Responsabilidades

• Maintain written supervisory procedures (WSPs) for supervised business lines (annuities, transfers).
• Run periodic surveillance using custodian reports and close exceptions.
• Coordinate licensing and appointment processes to ensure representatives are properly licensed and appointed.
• Review and approve transactions and exceptions with documented rationale.
• Resolve open items with representatives, custodians, and carriers before approval.
• Review annuity applications, exchanges, and premium payments under Rule 2330 and Reg BI.
• Monitor surrender charges and client liquidity needs, time horizon, and age.
• Provide training on Reg BI, Rule 2330, and annuity requirements.
• Support regulatory examinations and respond to requests; document investigations.

Conocimientos

Analytical skills

Written and verbal communication

Decision making on suitability

Educación

Bachelor’s degree in business or finance

Herramientas

Raymond James platform

WSPs

Descripción del empleo

NewEdge Securities, a subsidiary of NewEdge Wealth, seeks a Sr Associate, Compliance Supervision (Remote, USA) to lead the supervisory program, including principal review of transactions and annuity oversight under FINRA Rule 2330 and Reg BI.

The role supports FINRA, SEC, and state examinations, serving as an escalation point for supervisory questions from registered representatives and branch principals, with hybrid/remote work options in the USA.