04/03/2026
As a part of the Supervision and Business Risk (SaBR) team, the individual(s) in this role is/are responsible for partnering with General Agents, Career Development Managers, and Agency Supervisory Officers to perform certain delegated supervisory functions in a home office setting to ensure compliance and regulatory requirements are achieved. You will Make independent suitability decisions when approving all accounts at account opening, annuities, alternative investments, and structured notes. Enforce Investment Advisory platform compliance policies and guidelines and escalate concerns when it is appropriate to do so. Train and educate General Agents, Career Development Managers, Agency Supervisory Officers and Field Representatives on an ad hoc basis. Handle any special projects and initiatives assigned by management as needed including but not limited to audits, new product introductions, critical analysis of current trends and patterns. Demonstrate...
Guardian
New York, NY, USA
Full Time
