State Licensed Sales Supervisor
VirtualVocations
Conducting supervisory principal review activities, the full-time remote State Licensed Sales Supervisor will ensure compliance with suitability and best interest standards for various financial products while providing training and maintaining supervisory procedures. Key responsibilities Conduct principal review and approval for a variety of financial business types, ensuring adherence to suitability standards Track quality reports, identify potential issues, and escalate to leadership as necessary Develop and provide training on business submission processes and regulatory requirements Required qualifications Bachelor's degree in finance, business, or a related field, or equivalent professional experience Five years of experience in suitability/best interest review or investment supervision FINRA Series 7, 24, and 63 or 65 (or Series 66 with Series 7), and Series 51 or 53 (to be obtained within 12 months) Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL) Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)
Vacancy posted 11 days ago
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