Trade Suitability Analyst

Trade Suitability Opportunity in Financial Services

Sales Supervision Principal

Preferred Location:          20 E. Thomas Road  Phoenix, AZ  85012

Accepting qualified candidates in all locations and remotely

Summary:

The Sales Supervision Principal conducts suitability reviews of business requiring firm pre-approval, to include, but not limited to, Variable Annuity (VA) initial purchases and replacements and non-traded alternative investment purchases.  Under the guidance of the Department Manager and Team Lead and/or Senior Sales Supervision Principal, the Sales Supervision Principal performs research and analysis of proposed transactions and documents findings, rationale and approval / rejection decisions.  The Supervision Principal ensures business is processed in accordance with the firm’s policies and procedures and in compliance with regulatory requirements to protect the client, the First Line Supervisor (FLS), and the firm.

Responsibilities:

  • Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions
  • Completes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies and conclusion
  • Provides a written recommendation of approval or rejection after a thorough suitability analysis is completed
  • Works with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections
  • Stays fully informed of firm rules, guidelines and procedures as well as regulatory changes
  • Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures
  • Keeps timely workflow and ensures regulatory deadlines are met
  • Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Supervision Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs)
  • All other duties as assigned.

Education Requirements:

  • Bachelor’s degree preferred, 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:

  • At least one year related experience
  • FINRA Series 7, 66 (or 63 / 65), and 24 (or 8 or 9 / 10) are required
  • Basic Variable Annuity knowledge
  • Excellent written and verbal communication skills
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
  • Analytical and problem-solving skills

Preferred Requirements:

  • FINRA Series 65 preferred
  • Life & Variable Insurance licenses preferred
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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.