Job Description
Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.
What You'll Do:Partner with Financial Advisors and branch teams to assist them in building a successful and compliant annuity business Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance Work in collaboration with internal business areas
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.
What You'll Do:
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