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Osaic
Scottsdale, AZ; Oakdale, MN; La Vista; St. Petersburg; Atlanta, GA
Source: Osaic careers · View original posting
From Osaic's posting. “We” and “our” refer to the employer.
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Osaic Careers
Supervision Principal Opportunity in Financial Services
Sales Supervision Principal
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $65,000 – $75,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits .
The Sales Supervision Principal conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, with a primary focus on non-traded alternative investments, including private placements, Delaware Statutory Trusts (DSTs), exchange funds, non-traded REITs, and other alternative investment offerings. The role also reviews Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements.
Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions, evaluates investor qualification requirements, assesses suitability and best interest considerations, and documents findings, rationale, and approval or rejection decisions. The role ensures transactions are processed in accordance with firm policies and procedures and in compliance with applicable regulatory requirements.
Through effective risk assessment and supervisory oversight, the Sales Supervision Principal helps protect clients, First Line Supervisors (FLS), and the firm while supporting a consistent, efficient, and high-quality review process.
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.
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