Compliance Analyst

TRC's partner, a Leader within Wealth Management, has a direct hire opportunity for a Sales Supervision Principal to join their team!

The company offers a collaborative environment, extensive growth opportunities, tuition reimbursement, Unlimited PTO, etc.

The Sales Supervision Principal reviews and approves transactions requiring firm pre-approval, with a focus on alternative investments and annuity products. This individual evaluates investor eligibility, suitability, and best-interest considerations while ensuring compliance with regulatory requirements and firm policies

Responsibilities

• Review alternative investment and annuity transactions for suitability, investor qualification, and regulatory compliance.
• Analyze transaction documentation and communicate directly with advisors to resolve deficiencies.
• Document findings and provide approval or rejection recommendations.
• Partner with leadership on escalated reviews and complex supervisory matters.
• Maintain knowledge of industry regulations, firm policies, and supervisory requirements.
• Manage workflow priorities while meeting service and regulatory deadlines.
  
  

Qualifications

• FINRA Series 7, Series 63 or 66, and Series 24 (or Series 8 or 9/10) required.
• Experience reviewing securities, annuity, or alternative investment transactions.
• Knowledge of alternative investments, Variable Annuities (VA), Registered Index-Linked Annuities (RILA), and Fixed Indexed Annuities (FIA).
• Strong analytical, risk assessment, and written communication skills.
• Ability to work effectively in a fast-paced, deadline-driven environment.
• Bachelor's degree preferred.
  
  

This position serves as a critical control point within the organization, helping ensure investment recommendations align with client objectives, financial circumstances, and regulatory standards. The Sales Supervision Principal works closely with advisors and internal stakeholders to evaluate complex transactions, mitigate risk, and support a high-quality client experience.

Additional Qualifications

• Experience interpreting and applying firm policies, procedures, and regulatory requirements.
• Ability to exercise sound judgment when evaluating investment suitability and supervisory concerns.
• Strong attention to detail with the ability to document findings clearly and accurately.
• Demonstrated ability to build productive relationships with advisors and internal business partners.
• Proficiency working within structured workflows and managing multiple priorities simultaneously.