Senior Compliance Supervisor (FINRA 24) – Annuity & Reg BI

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

Descrizione del lavoro

NewEdge Securities, part of NewEdge Capital Group, seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, surveillance, and regulatory support. Annuity supervision covers variable and indexed products under FINRA Rule 2330 and Reg BI.

Location is hybrid in New Orleans, LA or Pittsburgh, PA; remote candidates may be considered. 90-day registration targets apply, with potential for bonus eligibility based on performance.

Competenze

• Active FINRA Series 24 (General Securities Principal) registration, or ability to obtain within 90 days of hire.
• Series 7 and Series 63; Series 66 or 65 preferred.
• Active life and variable contracts license, or ability to obtain within 90 days in resident state.
• 5+ years in broker-dealer compliance, supervision, or operations; including annuity/insurance sales experience.
• Working knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchanges.

Mansioni

• Maintain written supervisory procedures (WSPs) for the firm’s supervised business lines, including annuities and transfers.
• Run periodic surveillance using reports; follow exceptions to closure.
• Coordinate licensing and carrier-appointment processes to confirm proper licenses.
• Review and approve transactions and exceptions for principal approval with rationale.
• Deliver training on Reg BI and supervisory topics; document corrective actions.

Conoscenze

Sound judgement

Analytical skills

Written and verbal communication

Supervisory experience

Formazione

Bachelor’s degree in business

Strumenti

Raymond James platform

Descrizione del lavoro

NewEdge Securities, part of NewEdge Capital Group, seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, surveillance, and regulatory support. Annuity supervision covers variable and indexed products under FINRA Rule 2330 and Reg BI.

Location is hybrid in New Orleans, LA or Pittsburgh, PA; remote candidates may be considered. 90-day registration targets apply, with potential for bonus eligibility based on performance.