Scottsdale, AZ30+ days ago
Responsibilities: Supervises team of alternative investment focused principals and team leads within Sales Supervision Manages and improves upon workflows, form & document structure, customer service engagements and partnerships with internal teams within Osaic Primary supervisor for escalated suitability reviews of Non-Traded Alternative Investment transactions requiring firm pre-approval such as Non-Traded REITs, Managed Futures, and 1031 Exchanges Back-up supervisor for escalated suitability reviews of complex variable annuity transactions and ensures adherence to FINRA Rule 2330, often requiring advanced technical and product knowledge Maintain relationships with third party vendors who are providing key technologies, maintaining department needs as technologies are upgraded and user interfaces change Proactively engages and partners with internal departments within the organization to identify and mitigate risk, create roadmaps for key initiatives and communicates changes clearly and frequently Act as relationship manager for sponsor company key contacts, negotiating workflow or form changes/requirements while maintaining contractual obligations Acts as the primary mentor, technical resource, and coach to other Sales Supervision Principals on team Performs periodic quality assurance inspections on the transactions that were reviewed by Principals Performs research and actively participates in projects as directed, to help monitor, test and improve department policies and procedures to meet Advisor needs and comply with industry regulations Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Field Supervision team Closely monitors daily workflows to ensure service levels are met, the workload is evenly distributed, and ensures regulatory deadlines are met Remains fully informed of firm rules, guidelines and procedures as well as regulatory changes Basic Requirements: FINRA Series 7, 24 (or 9/10), 63 (or 66), 53 required At least three years’ related experience in alternative investment products At least two years related management or team leadership experience Proficient with Windows and Microsoft applications such as Word, Excel, and Outlook. Role Type: Full-time Salary: $100,000 - $110,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.