Senior Compliance Supervisor: FINRA & Annuity Oversight

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

Descrizione del lavoro

NewEdge Capital Group is seeking a Sr Associate, Compliance Supervision (PA, Pittsburgh) to support a robust supervisory program, including principal review of transactions, surveillance, and branch oversight. The role enforces FINRA Rule 3110 and Reg BI standards and serves as an escalation point for supervisory questions from registered representatives.

The position covers annuity supervision under FINRA Rule 2330, including evaluation of charges, surrender options, and time horizons, with

Competenze

• Active FINRA Series 24 registration or ability to obtain within 90 days
• Series 7 and Series 63; Series 66/65 preferred
• Active life and variable contract insurance license or within 90 days in resident state
• 5+ years in broker-dealer compliance, supervision, or operations
• Knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchanges, NAIC best interest requirements
• Clean regulatory record (U4 disclosure)

Mansioni

• Maintain written supervisory procedures (WSPs) for the firm's supervised business lines including annuity sales and 1035 transfers
• Run periodic surveillance using reports and follow exceptions to closure
• Coordinate licensing and appointment processes to ensure proper representation before product sales
• 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
• Evaluate surrender charges, rider costs, and client liquidity needs
• Monitor annuity replacement rates and short-holding-period exchanges
• Serve as escalation point for annuity supervisory questions
• Deliver training on Reg BI, Rule 2330, and annuity requirements
• Document corrective actions and disciplinary referrals
• Review communications and client-facing materials for approvals
• Support FINRA/SEC examinations and regulatory requests
• Investigate and document customer complaints and regulatory reporting
• Coordinate with Operations on processing and funds movement
• Report supervision metrics and risks to CCO and senior management

Conoscenze

Reg BI knowledge

Surveillance analysis

Written and verbal communication

Training delivery

Regulatory coordination

Formazione

Bachelor’s degree in business/finance

CFP or CRCP designation

FINRA licenses: Series 24/7/63

Strumenti

Raymond James platform

Annuity order-entry workflows

Descrizione del lavoro

NewEdge Capital Group is seeking a Sr Associate, Compliance Supervision (PA, Pittsburgh) to support a robust supervisory program, including principal review of transactions, surveillance, and branch oversight. The role enforces FINRA Rule 3110 and Reg BI standards and serves as an escalation point for supervisory questions from registered representatives.

The position covers annuity supervision under FINRA Rule 2330, including evaluation of charges, surrender options, and time horizons, with