Sales Supervision Principal
Company: Advisor Group
Location: Des Moines
Posted on: May 26, 2023
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Job Description:
Advisor Group CareersBe a part of the team behind our success!
At Advisor Group, we support financial professionals nationwide,
the people who help everyday Americans achieve their dreams. We're
a billion-dollar business with the mentality and drive of a
startup. Join us in building something special.Trade Suitability
Opportunity in Financial ServicesSales Supervision
PrincipalAccepting qualified candidates in all locations and 100%
remote. Summary: The Sales Supervision Principal conducts
suitability reviews of business requiring firm pre-approval, to
include, but not limited to, Variable Annuity (VA) initial
purchases and replacements and non-traded alternative investment
purchases. Under the guidance of the Department Manager and Team
Lead and/or Senior Principal, the Sales Supervision Principal
performs research and analysis of proposed transactions and
documents findings, rationale and approval / rejection decisions.
Our Principals ensure business is processed in accordance with the
firm's policies and procedures and in compliance with regulatory
requirements to protect the client, the First Line Supervisor
(FLS), and the firm.Responsibilities:
Keywords: Advisor Group, Des Moines , Sales Supervision Principal, Education / Teaching , Des Moines, Iowa
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