Job Title: Sales Supervision Principal
Location: Atlanta, GA 30339/ La Vista, NE 68128/ Oakdale, MN 55128/ Scottsdale, AZ 85255/ St. Petersburg, FL 33702
Duration: Full Time (Permanent,Hybrid)
Salary Range : $65000 to $75000 +10 % Annual Bonus
Job Summary
The Sales Supervision Principal conducts suitability reviews for transactions requiring firm pre-approval, including Variable Annuities (VA), Registered Index-Linked Annuities (RILA), Fixed Indexed Annuities (FIA), annuity replacements, and non-traded alternative investments. This role evaluates proposed transactions, documents findings and rationale, and provides approval or rejection decisions in accordance with firm policies, procedures, and regulatory requirements.
Responsibilities
- Review assigned transactions daily to ensure appropriate business and sales practices are followed.
- Conduct suitability reviews for VA, RILA, FIA initial purchases and replacements, and non-traded alternative investment purchases.
- Work with advisors to address deficiencies in transaction submissions.
- Enter transaction details into the Sales Supervision pre-approval platform.
- Document suitability analysis, advisor communications, deficiency resolutions, and final conclusions.
- Provide written recommendations for approval or rejection following a thorough suitability review.
- Partner with the Senior Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections.
- Stay current on firm policies, procedures, guidelines, and regulatory changes.
- Monitor, report, and enforce internal controls to support compliance with industry standards and firm requirements.
- Manage workflow efficiently to ensure regulatory deadlines are met.
- Maintain positive working relationships with Advisors, First-Line Supervisors, Supervision of Regional Vice Presidents, and Regional Sales Managers.
- Perform other duties as assigned.
Basic Requirements
- High school diploma or equivalent required.
- Bachelor’s degree preferred; significant relevant experience may be considered in lieu of a degree.
- At least 1–2 years of related experience.
- Knowledge of Variable Annuities, Registered Index-Linked Annuities, Fixed Indexed Annuities, and alternative investments.
- Active FINRA Series 7, Series 63 or Series 66, and Series 24 or Series 8 or 9/10 licenses required.
- Strong written and verbal communication skills.
- Ability to manage and prioritize multiple tasks in a fast-paced environment while meeting deadlines.
- Strong analytical, problem-solving, and decision-making skills.
Preferred Requirements
- FINRA Series 65 or Series 66 license preferred.
- Life and Variable Insurance licenses preferred.
Thanks,
Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.
Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/ to learn more.
Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status..
Pay: $65,000.00 - $75,000.00 per year
Work Location: Hybrid remote in Atlanta, GA 30339
