Senior Sales Compliance & Approvals Lead

Osaic; Scottsdale (AZ); Hybrid; USD 65,000 - 75,000; Full time

Job summary

Osaic in Scottsdale seeks a Sales Supervision Principal to conduct suitability reviews for VA, RILA, FIA, and other investments, ensuring approvals align with firm policies.

Under guidance, you will analyze transactions, document findings, and render approval or rejection decisions. The role requires 1–2 years of related experience and FINRA licenses, with a hybrid schedule in the office four days weekly.

Qualifications

• Bachelor's degree preferred or equivalent experience in financial services
• Minimum of 1–2 years related experience in financial services
• FINRA licenses required: Series 7, 63, and 24 (or 66/8/9/10 alternates)
• Excellent written and verbal communication skills
• Ability to manage multiple tasks in a fast-paced environment
• Strong analytical and problem-solving abilities

Responsibilities

• Reviews daily submissions for suitability and compliance with firm policies
• Completes data entry into the supervision pre-approval platform with analysis and communications
• Provides written recommendations of approval or rejection after thorough analysis
• Collaborates with Senior Trade Specialist and Team Lead on escalated issues
• Keeps informed of firm rules, guidelines, and regulatory changes
• Monitors internal controls and ensures regulatory deadlines are met
• Maintains relationships with Advisors and Regional Managers
• Executes other duties as assigned

Skills

Annuity knowledge

FINRA Series 7

FINRA Series 63

FINRA Series 24

Communication skills

Analytical skills

Multitasking

1–2 years experience

Education

Bachelor's degree preferred

High school diploma or equivalent

Job description

Osaic in Scottsdale seeks a Sales Supervision Principal to conduct suitability reviews for VA, RILA, FIA, and other investments, ensuring approvals align with firm policies.

Under guidance, you will analyze transactions, document findings, and render approval or rejection decisions. The role requires 1–2 years of related experience and FINRA licenses, with a hybrid schedule in the office four days weekly.