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

    Guardian Life Insurance
    Guardian Life Insurance New York, United States

    2 weeks ago

    Default job background
    Description
    Do you have a true interest in investing and the rules and regulations of the securities industry? Do you also enjoy working from home? If so, the Supervision and Business Risk ("SaBR") team is seeking a positive professional who will be responsible for performing suitability reviews for life, annuities, brokerage and advisory products and oversight through testing of the tasks completed by the Registered Principals.

    The right candidate will have the ability to build positive relationships with the local agency management team, our field rep's, and registered principals to ensure the supervisory requirements are being met while also ensuring the best interest of the client. In this role, you will apply industry knowledge and application of the laws, regulations, products, and ethical standards of the securities industry when performing reviews. You will have the opportunity to work with annuity & new account reviews, trade reviews, email supervision, structured notes & alternative investments

    You are
    • A personable and reliable self-starter who requires minimal oversight for day-to-day responsibilities, works effectively as part of a team as well as independently and implements feedback in an effective manner.
    You will
    • Perform suitability reviews of life (term, whole life) and fixed annuity products.
    • Perform structured notes reviews.
    • Perform oversight reviews, through testing, of the tasks completed by the Registered Principal and Guardian India team.
    • Review various control reports to identify potential patterns and trends.
    • Perform periodic testing of Supervisory systems to ensure continued compliance with the firm's policies and advance concerns when appropriate.
    • Consistently enforce compliance policies and guidelines and advances concerns when it is appropriate to do so.
    • Work closely with agencies and department management by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the firm and industry regulations.
    • Ask 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.
    • Communicate effectively (both written and oral) with agency management, field reps and registered principals using clear, concise, and understandable language.
    • Demonstrate sound and consistent supervisory judgment based on thorough and systematic review of information available.
    Serve as back-up coverage for Registered Principals.
    • Review new accounts and trades for a variety of registered products and investment strategies, which may include but not limited to, options, stocks & bonds, 529 plans, variable annuities, and mutual funds
    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
    • Knowledge of FINRA, SEC, and State rules and regulations, variable annuities, structured notes, mutual funds and other financial products
    Salary Range
    $68, $102,025.00

    The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.

    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
    Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.

    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.

    Accommodations

    Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact [redacted].
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