Sr Associate, Compliance Supervision (PA, Pittsburgh)

NewEdge Capital Group; Pittsburgh (Allegheny County); Híbrido; USD 90.000 - 100.000; Jornada completa

Descripción de la vacante

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

Formación

• 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)

Responsabilidades

• 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

Conocimientos

Reg BI knowledge

Surveillance analysis

Written and verbal communication

Training delivery

Regulatory coordination

Educación

Bachelor’s degree in business/finance

CFP or CRCP designation

FINRA licenses: Series 24/7/63

Herramientas

Raymond James platform

Annuity order-entry workflows

Descripción del empleo

Sr Associate, Compliance Supervision (PA, Pittsburgh)

Article by: NewEdge Capital Group

November 3, 2026

Position Overview:

NewEdge Securities seeks a Series 24 Compliance Supervisor to support the firm’s supervisory program, including principal review of transactions, surveillance, representative oversight, and regulatory examination support. The role enforces FINRA Rule 3110 and Regulation Best Interest standards and serves as an escalation point for supervisory questions from registered representatives and branch principals. Annuity supervision, covering variable, fixed, and fixed indexed annuities under FINRA Rule 2330, is one of the role’s core functions.

Location:Hybrid in New Orleans, LA or Pittsburgh, PA. Remote candidates will also be considered.

Responsibilities:

Supervisory Program Ownership

• Maintain written supervisory procedures (WSPs) for the firm’s supervised business lines, including annuity sales, exchanges, and 1035 transfers
• Run periodic surveillance using Raymond James and other custodian and carrier reports; follow exceptions to closure
• Coordinate with registration, insurance-licensing, and carrier-appointment processes to confirm representatives are properly licensed and appointed before products are sold

Transaction Review and Approval

• Review and approve transactions and exceptions escalated for principal approval, for suitability and best interest, including documented rationale
• Resolve open items with representatives, custodians, and carriers before approval; reject or elevate deficient submissions

Annuity Supervision

• Review and approve annuity applications, exchanges, replacements, and subsequent premium payments under Rule 2330 and Reg BI, including documented rationale
• Evaluate surrender charges, loss of benefits, new surrender periods, rider costs, and the client’s liquidity needs, time horizon, and age
• Apply concentration and product-specific criteria, including limits for older and retirement-age clients
• Monitor annuity replacement rates, short-holding-period exchanges, rep and branch concentration, and surrender activity
• Serve as an escalation point for annuity-related supervisory questions from registered representatives and branch principals

Representative Oversight

• Deliver training on Reg BI and other supervisory topics, including Rule 2330 and annuity replacement requirements
• Document and track corrective action, heightened supervision plans, and disciplinary referrals
• Review communications, marketing materials, and client-facing illustrations, including annuity materials – provide approvals, as appropriate

Regulatory and Operational Coordination

• Support FINRA, SEC, and state examinations and respond to regulatory requests
• Investigate and document customer complaints; assist with required regulatory reporting
• Partner with Operations and Cashiering on processing, NIGO (not in good order) exceptions, and funds movement, including annuity transactions
• Report supervision metrics and emerging risks to the CCO and senior management

Qualifications:

Required

• Active FINRA Series 24 (General Securities Principal) registration, or ability to obtain it 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 one within [90] days of hire, in the resident state and any additional states required
• [5+] years in broker-dealer compliance, supervision, or operations, including experience supervising annuity or insurance product sales
• Working knowledge of Reg BI, Rule 3110, Rule 2330, 1035 exchange mechanics, and NAIC best interest requirements
• Clean regulatory record (U4 disclosure review as part of background check)

Preferred

• Bachelor’s degree in business, finance, or a related field
• Experience with Raymond James – clearing platform and annuity order-entry workflows
• Experience with FINRA or SEC examinations and with drafting or revising WSPs
• CFP, CRCP, or other relevant designation
• Familiarity with fixed indexed and registered index-linked annuities and the carriers’ product features

Skills

• Sound judgment on suitability and best interest, with clear written documentation of decisions
• Ability to deliver direct feedback to producing representatives and hold firm on supervisory standards
• Strong analytical skills, including comfort with exception reports and surveillance data
• Clear, concise written and verbal communication with representatives, carriers, and senior management

Salary Range: $90,000 – $100,000, based on experience, with eligibility to participate in the company’s bonus program