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. Key Responsibilities • 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. Required Qualifications • Bachelor's degree or equivalent, and 5+ years minimum relevant work experience • Relevant experience includes financial services, customer service, communications, education or other 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. Preferred Qualifications • 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 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. • 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. • 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. • Technical product knowledge related to annuities • Strong knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines Visa Sponsorship 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). In-Office Collaboration We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. 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. This position is based in Minneapolis, MN; Charlotte, NC; Las Vegas, NV; or Troy, MI, with an expectation of in-office presence. A limited exception may be considered for highly qualified candidates to be eligible for remote designation. This exception is narrowly defined based on specific business needs, and no other remote arrangements will be approved. Candidates must reside within approved locations to be eligible. Base Pay Salary The estimated base salary for this role is $87,400-$120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business AWMBD Advice and Wealth Mgmt and Business Development