Regional Sales Supervision Principal - RSU

Sales Supervision Opportunity in Financial Services

Regional Sales Supervision Principal - RSU


Location(s):      La Vista, NE

All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time.  Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based. 

Role Type:        Full time

Summary:

The primary responsibility of this job is to help mitigate risk to the firm by the supervision of the sales activities of SAI representatives and OSJ’s in an assigned region. Other responsibilities include building relationships with representatives and OSJs; communicating regularly with representatives and OSJ’s regarding compliance regulations; coordinating with the compliance department on audits, surveillance reports, and regulatory inquiries and serving as a subject matter expert on compliance questions and issues.

Why Advisor Group? 

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events

Responsibilities:

  • Build constructive relationships with a wide variety of SAI representatives and OSJs in assigned region through communication, visits, education and follow-up.
  • Supervise sales activity of registered representatives and OSJ’s in assigned territory.
  • Hold OSJs in region accountable for the supervision duties they are required to perform.
  • Investigate potential sales practice violations and take corrective actions which may require client and/or representative contact.
  • Provide feedback and input for policy and process improvement on an ongoing basis.
  • Provide input to Compliance audits. 
  • Answer compliance questions from reps, office staff and home office employees.8.          
  • Provide periodic reports to the Deputy Director that includes a summary of Accomplishments, Trends, Challenges and Opportunities for region and department. 
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree from accredited university in Finance or business-related field, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 3+ years of industry experience, preferably in supervision/compliance
  • 1+ year experience in a principal capacity
  • Series 7, 24 industry licenses required
  • Ability to earn Series 66 industry license within 6 months of hire
  • Ability to earn Series 4 and 53, Variable Life and Annuity licenses within 3-12 months of hire contingent upon current level of licensure
  • Ability to keep abreast of and adapt to an ever changing regulatory landscape
  • Ability to analyze sales activities and trends via interviews and exception reports to determine if an activity falls within Firm and regulatory guidelines.
  • Ability to understand a wide variety of representative business models and to spot trends and potential pitfalls in those models 
  • Ability to steer representatives and OSJs to compliance through communication, education and possible disciplinary actions
  • Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner
  • Ability to problem solve and make rule-based and analytical decisions
  • Ability to organize, prioritize, and handle multiple tasks
  • Ability to travel approximately 25-50% of the time
  • Ability to be at work on a regular and predictable basis
  • Knowledge of securities industry regulations, terminology and practices.
  • Skill in utilizing various software packages such as Microsoft Office & Outlook
  • Skills in verbal and written communication
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.