Sales Supervision Manager
Jackson National Life Insurance Company
- Nashville, TN
- Permanent
- Full-time
- Provides direct supervision of registered representatives for broker-dealer and insurance agency functions; provides supervision, guidance, advice, and training.
- Principal review of new account documentation to ensure adherence with applicable suitability and/or best interest requirements.
- Reviews compliance required forms.
- Reviews annuity transactions.
- Reviews incoming and outgoing representative correspondence.
- Maintains required records and written procedures for supervisory controls performed.
- Refers to and provides input on Compliance regulatory violations, sales practice improprieties, or actual/potential violations of Company policies and/or regulatory requirements, as needed.
- Reviews monthly compliance reports for accuracy.
- Monitors Representative employee activities such as outside business activities, social media posts, and personal securities activities.
- Partners with Compliance to define and implement supervisory policies, procedures, and related controls.
- Reviews Trade Blotters.
- Performs due diligence reviews of third party distribution partners.
- Assists with firm and branch audits.
- Assists in monthly training/facilitation of staff meetings.
- Assists in reviewing various surveillance reports.
- Works with team to define suitability rules and alerts within the workflow system.
- Assists with the assessment of workflow and technology platform design to identify opportunities for better risk management, greater efficiency, and reduced processing times.
- Performs other duties and/or projects as assigned.
- Extensive knowledge of FINRA, SEC, and state insurance regulations.
- In depth knowledge of insurance products, securities products and investment portfolios.
- Working knowledge of regulatory environment related to annuity sales.
- Strong verbal and written communication skills.
- Working knowledge of issues related to independent Registered Investment Advisors.
- Ability to analyze data and information and create positive solutions for the firm.
- Ability to work effectively with little supervision or direction.
- Ability to accept change, be flexible, and be willing to learn and adapt in an ever-changing environment.
- Ability to work efficiently and effectively in a high pressure, highly visible environment.
- Ability to maintain confidentiality while working effectively in a team environment.
- Strong analytical, problem solving and decision-making skills.
- Working knowledge of Microsoft Office software.
- Ability to travel up to 10% of the time.
- Bachelor's Degree with a focus on business, finance, economics, or accounting or equivalent experience required.
- 5+ years of experience with suitability and annuity transactions required.
- 3+ years of experience with compliance or sales supervision, supervisory/manager capacity preferred.
- Experience writing and monitoring compliance policies, processes and procedures required.
- FINRA Series 6 or 7 required upon hire.
- FINRA Series 26 or 24 or 9/10 required within 60 Days.
- State insurance license required within 60 Days.