Sales Supervision Mgr

Job Description

The Annuity Supervision Team plays a vital role in supporting advisors and clients by providing oversight of annuity and insurance business activities in a dynamic, fast‑paced environment. This position offers the opportunity to apply analytical expertise and regulatory knowledge to help ensure high‑quality outcomes for clients while supporting advisor success. In this role, Sales Supervision Managers (SSMs) conduct supervisory reviews of advisor interactions with clients and prospects, including recommendations and sales of annuity and insurance products.

SSMs bring strong subject‑matter expertise to evaluate suitability, mitigate risk, and promote sound business practices. The role involves regular collaboration with advisors and field leaders, clear and professional communication, and the ability to synthesize information from multiple systems to make informed decisions. Successful candidates are highly analytical, collaborative, and adaptable, with a strong interest in staying current on evolving regulatory and industry trends.

• Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.
• Determine approval or rejection of new applications.
• Communicate with advisors and field leaders as part of the process to complete supervisory reviews of business activity.
• Improve advisor policy adherence through coaching and training.
• Communicate with clients, when needed, regarding activity to determine suitability.
• Serve as subject‑matter expert providing information and/or research to a range of business partners.
• Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
• Keep updated on changes in the regulatory environment and competitive landscape, including new regulations and product offerings.
• Participate in maintaining the overall health of the team, including establishing individual development goals and engagement in team activities.
• Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.

• Bachelor’s degree or equivalent, and 5+ years minimum relevant work experience.
• Relevant experience includes financial services, customer service, communications, education or other fields where you have built the skills needed to be successful in this role.
• Active SIE (Securities Industry Essentials).
• Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; additional licenses or the ability to obtain may be required depending on function.

• Problem solving and analytical skills; ability to effectively analyze complex issues.
• Ability to consistently exercise good judgment when making decisions on complex matters that don’t have clear answers.
• Strong written and verbal communication skills, including the ability to deliver unfavorable messages.
• Ability to consistently influence positive behavior through coaching and education.
• Ability to document activity in a fact‑based and comprehensive manner.
• Technical product knowledge related to annuities; strong knowledge of FINRA, SEC and other regulatory bodies’ rules relevant to the applicable product lines.
• Ability to work effectively and efficiently both individually and in a team environment.
• Ability to manage workload across multiple tools and processes, including prioritization and monitoring of pending cases.

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H‑1B, F‑1 CPT, F‑1 OPT, TN).

This position is based in Minneapolis, MN;
Charlotte, NC;
Las Vegas, NV; or Troy, MI, with an expectation of in‑office presence. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in‑office time or different in‑office expectations, and specific requirements will be discussed during the hiring process. A limited exception may be considered for highly qualified candidates to…