Jackson · 3 hours ago
Sales Supervision Manager
Nashville, TN
Full-time
Onsite
Senior Level
5+ years expJackson is a company that focuses on compliance and sales supervision in the financial services sector. The Sales Supervision Manager will oversee registered representatives, ensuring adherence to regulatory requirements and assisting with compliance-related duties.
Financial Services
Responsibilities
Provides direct supervision of registered representatives for broker-dealer and insurance agency functions; provides supervision, guidance, advice, and training
Principal review of new account documentation to ensure adherence with applicable suitability and/or best interest requirements
Reviews compliance required forms
Reviews annuity transactions
Reviews incoming and outgoing representative correspondence
Maintains required records and written procedures for supervisory controls performed
Refers to and provides input on Compliance regulatory violations, sales practice improprieties, or actual/potential violations of Company policies and/or regulatory requirements, as needed
Reviews monthly compliance reports for accuracy
Monitors Representative employee activities such as outside business activities, social media posts, and personal securities activities
Partners with Compliance to define and implement supervisory policies, procedures, and related controls
Reviews Trade Blotters
Performs due diligence reviews of third party distribution partners
Assists with firm and branch audits
Assists in monthly training/facilitation of staff meetings
Assists in reviewing various surveillance reports
Works with team to define suitability rules and alerts within the workflow system
Assists with the assessment of workflow and technology platform design to identify opportunities for better risk management, greater efficiency, and reduced processing times
Performs other duties and/or projects as assigned
Qualification
Required
Bachelor's Degree with a focus on business, finance, economics, or accounting or equivalent experience
5+ years of experience with suitability and annuity transactions
Experience writing and monitoring compliance policies, processes and procedures
FINRA SIE, FINRA Series 6 or 7, FINRA Series 24 or 26, FINRA Series 63, State Insurance License
Applicants without the required registration(s) will have 90 days to obtain the required registration(s), but will be limited in job function until complete registration(s) is obtained
Extensive knowledge of FINRA, SEC, and state insurance regulations
In depth knowledge of insurance products, securities products and investment portfolios
Working knowledge of regulatory environment related to annuity sales
Strong verbal and written communication skills
Working knowledge of issues related to independent Registered Investment Advisors
Ability to analyze data and information and create positive solutions for the firm
Ability to work effectively with little supervision or direction
Ability to accept change, be flexible, and be willing to learn and adapt in an ever-changing environment
Ability to work efficiently and effectively in a high pressure, highly visible environment
Ability to maintain confidentiality while working effectively in a team environment
Strong analytical, problem solving and decision-making skills
Working knowledge of Microsoft Office software
Ability to travel up to 10% of the time
Preferred
3+ years of experience with compliance or sales supervision, supervisory/manager capacity
Company
Jackson
Jackson is a financial services company dedicated to helping people pursue financial freedom for life.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
$1.55BKey Investors
TPGAthene
2026-01-06Post Ipo Equity· $500M
2023-03-06Post Ipo Equity· $550M
2021-09-20IPO
Leadership Team
L
Laura Prieskorn
Chief Executive Officer
Alison Reed
EVP, Head of Distribution
Recent News
Business Wire
2026-01-09
2026-01-06
Morningstar.com
2025-12-18
Company data provided by crunchbase