Senior Compliance Supervisor for Reg BI & Annuity Oversight

NewEdge Wealth, LLC; Pittsburgh (Allegheny County); Hybrid; USD 90,000 - 100,000; Full time

Job summary

NewEdge Securities, a unit of NewEdge Wealth, LLC, seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, surveillance, and regulatory examination support.

Hybrid role in Pittsburgh, PA with remote candidates considered; responsibilities span annuity supervision, transaction approval, and representative oversight, ensuring compliance with FINRA rules and Reg BI.

Qualifications

• 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 of hire, in resident state and any required states.
• 5+ years in broker-dealer compliance, supervision, or operations, including supervising annuity or insurance product sales.
• Working knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchange mechanics, NAIC best interest requirements.
• Clean regulatory record (U4 disclosure review as part of background check).

Responsibilities

• Maintain and own the Supervisory Program (WSPs) for annuities, sales, exchanges, and 1035 transfers.
• Review and approve transactions and exceptions with documented rationale.
• Apply annuity supervision under Rule 2330 and Reg BI, evaluate charges and liquidity needs.
• Provide training on Reg BI, 2330 and annuity requirements; track corrective actions and disciplinary referrals.
• Coordinate with Operations, Licensing, and carriers to ensure proper licensing/appointments.

Skills

Sound judgment

Reg BI knowledge

Analytical skills

Communication

Supervisory oversight

Education

Bachelor's degree

Tools

Raymond James platform

Job description

NewEdge Securities, a unit of NewEdge Wealth, LLC, seeks a Series 24 Compliance Supervisor to oversee the firm’s supervisory program, including principal review of transactions, surveillance, and regulatory examination support.

Hybrid role in Pittsburgh, PA with remote candidates considered; responsibilities span annuity supervision, transaction approval, and representative oversight, ensuring compliance with FINRA rules and Reg BI.