Supervision Advisor - New York, United States - Guardian Life Insurance Company

Guardian Life Insurance Company

Verified Company

New York, United States

4 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

You will- Responsible for making independent suitability decisions when approving of all Investment Advisor accounts at account opening (including the review of Advice Capture within PAS approved systems).- Consistently enforces Investment Advisory platform compliance policies and guidelines and escalates concerns when it is appropriate to do so.- Working closely with agency management and field reps by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations.- Asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations.- Communicating effectively (both written and oral) with agency management and field reps using clear, concise, and understandable language.- Partner with branch exam partners for field reviews.- Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available.

You have- Must have Series 7, 24 or 9/10 (or equivalent) and 63/65 or 66- Record of increasing responsibility in compliance and/or supervisory functions- Proficient in MS Office skills including Excel, SharePoint, Word and Power Point.

- Excellent verbal and written communications skills- Ability to manage multiple projects and meet deadlines- Strong knowledge of FINRA, SEC, and State rules and regulations- Strong knowledge of variable annuities, structured notes, mutual funds and other financial products- Personable and reliable self-starter who requires mínimal oversight for day-to-day responsibilities, works effectively as part of a team as well as independently and implements feedback in an effective manner

Preferred- Series 4 and/or 53 is a plus

Salary Range

$68, $102,025.00

Our Promise

At Guardian, you'll have the support and flexibility to achieve your professional and personal goals.

Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Inspire Well-Being

As part of Guardian's Purpose - to inspire well-being - we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.

Health Care- Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits- Dental plan- Vision plan- Health care accounts - flexible spending, health reimbursement, and health savings accounts- Critical illness insurance

Life and Disability Insurance- Company-paid Life and Disability insurance plus voluntary supplemental coverage- Accident insurance

Retirement and Financial- 401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable- Complimentary 1:1 financial guidance with a licensed Fidelity representative

Time Off and Remote Work- Flexible work arrangements (part in-person/part remote)- Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement- Personal holidays for colleagues to use in recognition of religious, cultural, or civic days- Paid parental leave and paid family and medical leave policies

Emotional Well-being and Work-Life- Emotional well-being, mental health, and work/life resources powered by Spring Health- Wellness programs, including fitness program and equipment reimbursement- Child, adult, and elder back-up care support through Bright Horizons- Adoption assistance- College planning- Tuition reimbursement- Student loan assistance- Commuter benefits in select metropolitan areas

Equal Employment Opportunity

Guardian is an equal opportunity employer.

All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.

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