Agency Supervisory Officer

Lenox Advisors is a premier Mass Mutual agency supporting a network of financial professionals who provide insurance, investment, and financial planning solutions to clients nationwide. As part of NFP, an Aon company, we offer the resources of a large organization while maintaining the culture and agility of a high-performing agency. Our team is dedicated to delivering exceptional advisor support, effective supervision, and operational excellence that drive business growth and client confidence.

The Agency Supervisory Officer (ASO) reports to the designated supervisory leader and supports the firm's supervisory framework with a focus on investment suitability, principal review, regulatory compliance, and risk mitigation while ensuring supervisory decisions are timely, consistent, and well documented.

• Evaluate transactions, product recommendations, account features, and investment strategies for suitability and compliance with firm requirements.
• Provide principal review and approval for designated products, i.e. complex products.
• Conduct client or third-party outreach when additional validation is required to support a supervisory decision.
• Document review outcomes, conditions, approvals, and required follow-up.

• Monitor supervisory activity, transaction alerts, account exceptions, and other risk indicators to identify patterns or potential concerns.
• Research identified issues, coordinate corrective action, and address customer concerns or apply disciplinary standards when appropriate.
• Maintain required supervisory logs, reviews, approvals, and documentation in accordance with established schedules.
• Analyze trends and prepare recurring or targeted reports to support risk assessment and supervisory priorities.
• Monitor supervision arrangements that have been improved and other risk-based controls for continued efficiency.

• Review exception requests, gather supporting information, and coordinate decisions with the appropriate stakeholders.
• Serve as an escalation resource for complex supervisory matters and facilitate timely resolution.
• Coordinate required client, representative, and Mass Mutual Home Office follow-up, including corrective action and account-status changes.
• Maintain complete records of correspondence, decisions, and resolution steps.

• Bachelor's degree in Business Administration, Finance, or related field (or equivalent experience).
• Minimum of 5 years' experience in financial services, insurance, or agency operations, with at least 2 years in a supervisory or compliance-focused role.
• Active FINRA Series 7, Series 24, Series 53 (or equivalent supervisory licenses) and Series 63 required;
  Series 65/66 preferred.
• Strong knowledge of state and federal regulations governing insurance and securities activities.

• Sound principal judgment and consistent application of policy.
• Strong analytical, research, documentation, and risk-identification skills.
• Clear written and verbal communication with clients, representatives, and business partners.
• Ability to manage multiple priorities and recurring deadlines with attention to detail.
• Proficiency with standard business, supervisory, and compliance systems.

• Quality, accuracy, and timeliness of supervisory reviews and decisions.
• Timely resolution and documentation of anomalies, blocking issues, and remedial measures.
• Consistency of policy application and risk-based supervision.
• Effectiveness of reporting, training, and communication.
• Responsiveness to emerging risks and…