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Aegon · 1 week ago

Sales Supervision Principal

United States

Full-time

Remote

Entry, Mid Level

$55K/yr - $67K/yr

2+ years exp

Aegon is a company focused on providing financial services, and they are seeking a Sales Supervision Principal to conduct suitability reviews and provide compliance oversight. The role involves overseeing account reviews, working with supervisors to reduce firm risk, and ensuring adherence to business processes and controls.

Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement

Responsibilities

Conduct and oversee account reviews for client’s best interest

Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance

Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls

Review calls and call reports for quality and adherence of business guidelines

Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations

Assist in the management of OSJ files for RIA, broker/dealer and insurance agency

Assist with the regulatory requirement of advisory annual reviews

Assist with licensing and registration

Email and correspondence review

Perform special supervisory reviews as assigned

Qualification

FINRA Series 6FINRA Series 63Securities regulations knowledgeSuitability review experienceMS Office proficiencyAnalytical skillsWritten communication skillsVerbal communication skillsAttention to detailDecision-making skills