State Licensed Senior Supervisory Principal

Job Summary

A company is looking for a Senior Supervisory Principal.

Key Responsibilities

• Review and approve transactions for suitability and documentation of life insurance and annuity products
• Research and review annuity liquidation transactions and other transactional activities
• Act as a subject matter expert for Financial Advisors and assist with regulatory exams and requests

Required Qualifications

• Undergraduate degree in Business, Accounting, Finance, or related discipline
• 7+ years of industry experience
• Licenses/Certifications: Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 & 53) required
• Knowledge of life insurance, mutual funds, annuities, and general securities
• Knowledge of FINRA, SEC, and State rules and regulations