Senior Sales Compliance & Approvals Leader

Osaic; Oakdale (MN); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a Sales Supervision Principal to conduct suitability reviews and manage pre-approvals for various financial services. This full-time role requires proficiency in VA, RILA, FIA annuities, and FINRA licenses. The position is hybrid, requiring at least 4 days in the office. The salary ranges from $65,000 to $75,000 annually, alongside a comprehensive benefits package including health insurance and a 401k plan. Excellent communication and analytical skills are essential for this role.

Qualifications

• At least 1 - 2 years related experience required.
• FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required.
• Ability to effectively handle multiple tasks in a fast-paced environment.

Responsibilities

• Conduct suitability reviews of businesses requiring firm pre-approval.
• Ensure proper business and sales practices are followed by daily review.
• Provide written recommendation of approval or rejection after analysis.

Skills

Basic VA, RILA, FIA annuity & Alternative Investment knowledge

Excellent written and verbal communication skills

Analytical and problem-solving skills

Education

Bachelor's degree preferred

Job description

Osaic is seeking a Sales Supervision Principal to conduct suitability reviews and manage pre-approvals for various financial services. This full-time role requires proficiency in VA, RILA, FIA annuities, and FINRA licenses. The position is hybrid, requiring at least 4 days in the office. The salary ranges from $65,000 to $75,000 annually, alongside a comprehensive benefits package including health insurance and a 401k plan. Excellent communication and analytical skills are essential for this role.