Senior Sales Compliance & Pre-Approval Lead

Osaic; La Vista (NE); Hybrid; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health, vision, dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a Sales Supervision Principal to lead suitability reviews for complex financial transactions and ensure compliant, well-documented outcomes. You will assess pre-approval needs for VA, RILA, FIA products and related investments, guiding advisors through approvals or rejections.

Under the guidance of the Department Manager and Senior Trade Specialist, you will document findings, maintain regulatory alignment, and support ongoing controls and risk management across the franchise.

Qualifications

• Bachelor’s degree preferred; high school diploma accepted with significant experience.
• FINRA licenses: Series 7, Series 63, and Series 24 required (or Series 66/8/9-10).
• 1–2 years of related experience.
• Knowledge of VA, RILA, FIA and alternative investments.
• Excellent written and verbal communication; ability to prioritize tasks.

Responsibilities

• Review daily transactions for proper sales practices and address deficiencies with advisors.
• Enter data into the pre-approval platform and document analysis and communications.
• Provide written recommendations after thorough suitability analysis.
• Collaborate with Sr. Trade Specialist and managers on escalations.
• Stay informed of firm rules and regulatory changes.
• Monitor internal controls and ensure deadlines are met.
• Maintain relationships with Advisors and SRVPs/RSMs.
• All other duties as assigned.

Skills

VA knowledge

RILA knowledge

FIA knowledge

Alternative investments

Communication skills

Analytical skills

Multitasking

Education

Bachelor's degree preferred

High school diploma required

Job description

Osaic is seeking a Sales Supervision Principal to lead suitability reviews for complex financial transactions and ensure compliant, well-documented outcomes. You will assess pre-approval needs for VA, RILA, FIA products and related investments, guiding advisors through approvals or rejections.

Under the guidance of the Department Manager and Senior Trade Specialist, you will document findings, maintain regulatory alignment, and support ongoing controls and risk management across the franchise.