Sales Supervision Principal

The Sales Supervision Principal conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, with a primary focus on non-traded alternative investments, including private placements, Delaware Statutory Trusts (DSTs), exchange funds, non-traded REITs, and other alternative investment offerings. The role also reviews Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements. Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions, evaluates investor qualification requirements, assesses suitability and best interest considerations, and documents findings, rationale, and approval or rejection decisions. The role ensures transactions are processed in accordance with firm policies and procedures and in compliance with applicable regulatory requirements. Through effective risk assessment and supervisory oversight, the Sales Supervision Principal helps protect clients, First Line Supervisors (FLS), and the firm while supporting a consistent, efficient, and high-quality review process.