Licensed Sales Supervisor

About the job

We are an investment securities broker-dealer and registered investment advisor seeking a FINRA Series 24-licensed professional to serve as a Licensed Sales Supervisor. In this role, you will be the primary point of contact for review of customer accounts and product recommendations. Operating within our dually registered Broker-Dealer and RIA, you will help ensure that account activity, documentation, and investment recommendations meet firm standards, FINRA suitability requirements, and Regulation Best Interest (Reg BI) obligations. This position requires strong regulatory judgment, attention to detail, and a collaborative approach to supporting Financial Professionals in delivering compliant investment solutions.

Key Responsibilities:

Supervisory Review: Execute review and approval for new account openings, ensuring documentation meets firm, AML, and KYC standards.

Suitability & Reg BI Oversight: Evaluate brokerage and advisory recommendations, including mutual funds, ETFs, variable annuities, alternative investments, and other investment products, to ensure they align with the client’s best interest, investment profile, and documented risk tolerance.

Professional Coaching: Serve as a resource for Financial Professionals by providing guidance on firm policies, documentation requirements, and regulatory Best Interest obligations.

Trade Blotter Surveillance: Monitor daily trade activity and investment shifts to identify and help mitigate potential conflicts of interest, concentration concerns, or suitability issues.

Cross-Departmental Collaboration: Work closely with Compliance, Operations, and other AISG departments to streamline review processes, resolve issues, and support updates to Written Supervisory Procedures (WSPs).

Resolution Management: Address and resolve flagged items or inquiries from the field while maintaining a high level of service and strict adherence to compliance standards.

Project Support: Contribute to ad hoc projects as assigned by the CCO, including regulatory exam support, committee participation, and review-related initiatives.

Required Qualifications:

Licensing: Active FINRA Series 24 license is required. Active Series 7 and Series 63/66 licenses are standard prerequisites. FINRA Series 4 and 53 Preferred

Experience: Minimum of 2+ years of experience in sales supervision, principal review, compliance, or related securities industry role.

Education: Bachelor’s degree or 4 years of direct compliance-related or securities industry experience.

Regulatory Knowledge: Proficiency in Regulation Best Interest (Reg BI), FINRA suitability standards, and the differences between Broker-Dealer suitability and RIA fiduciary obligations.

Product Knowledge: Familiarity with insurance and investment products, including fixed, indexed, and variable annuities, mutual funds, ETFs, and alternative investments.

Preferred Skills:

Communication: Strong verbal and written communication skills, with the ability to explain complex regulatory requirements clearly and professionally to sales staff and Financial Professionals.

Analytical Depth: Ability to assess complex products and client profiles to determine appropriateness, identify risks, and support well-documented supervisory decisions.

Technology Skills: Familiarity with trade surveillance tools, CRM software, and Microsoft Office applications, including Excel and Outlook. Experience with platforms such as Salesforce, Redtail, Envestnet, or similar systems is a plus.

Organization: Excellent organizational and time management skills, with the ability to meet deadlines while managing multiple priorities.

Professional Judgment: Ability to apply securities industry rules and firm policies to day-to-day review decisions using a thoughtful, risk-based approach.

We Offer You:

Competitive wages

Comprehensive benefits package, including health, dental, and vision insurance

Paid time off

401(k) retirement plan with company matching

Opportunities to develop supervisory, regulatory, and product review expertise within a collaborative compliance and operations environment

Job Type: Full-time

Benefits:

401(k)

401(k) matching

Dental insurance

Health and Vision insurance

Paid time off