Osaic · 22 hours ago
Sales Supervision Team Lead
Atlanta, GA
Full-time
Hybrid
Mid, Senior Level
$90K/yr - $98K/yr
3+ years expOsaic is a financial services company that engages directly with over 11,000 Financial Professionals across the country. The Sales Supervision Team Lead will monitor daily workflows, support the Sales Supervision team, and ensure compliance with industry regulations while providing best-in-class service to Financial Professionals.
Business DevelopmentFinancial ServicesWealth Management
No H1B
Responsibilities
Conducts suitability reviews of complex variable annuity transactions and ensures adherence to FINRA Rule 2330, often requiring advanced technical and product knowledge
Performs suitability reviews of Non-Traded Alternative Investment transactions requiring firm pre-approval such as Non-Traded REITs, Managed Futures, and 1031 Exchanges
Acts as the primary suitability consultant for the team of Sales Supervision Principals
Actively determines individual training needs and works with management to implement training
Acts as the primary mentor, technical resource, and coach to other Sales Supervision Principals on team
Performs periodic quality assurance inspections on the transactions that were reviewed by Trade Specialists
Performs research and actively participates in projects as directed by Manager to help monitor, test and improve department policies and procedures to meet Advisor needs and comply with industry regulations
The Team Lead is the first point of contact for escalated issues and transactions. Demonstrating superior relationship management skills and participating in the escalation process for rejected transactions by providing technical product knowledge and regulatory analysis
Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Field Supervision team
Closely monitors daily workflows to ensure service levels are met, the workload is evenly distributed, and ensures regulatory deadlines are met
Remains fully informed of firm rules, guidelines and procedures as well as regulatory changes
All other duties as assigned
Qualification
Required
Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree
Minimum of high school diploma or equivalent is required
FINRA Series 7, 24 (or 9/10), 63 (or 66) required
At least three years related experience in a principal capacity
Proficient with Windows and Microsoft applications such as Word, Excel, and Outlook
This role requires someone who is self-motivated and who can motivate others
This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Excellent communication & organizational skills
STRONG customer focus orientation
High attention to detail, analytical mindset, and problem-solving skills
Be able to work independently and maintain elevated levels of quality
Self-motivated individual capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment
Preferred
Resident state Life and Variable insurance license
FINRA Series 65 (or 66) and/or Series 4
Understanding of Pershing and/or NFS systems
Familiarity with the AFFIRM Platform
Familiarity with the CAIS Platform
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
Private Banker International
2025-12-30
Company data provided by crunchbase