Supervision Advisor

The Supervision Advisor will join the Brokerage suitability team, building relationships with agency management and field reps. This role involves making independent suitability decisions for transactions like brokerage accounts and annuity purchases, enforcing compliance policies, and escalating concerns. The advisor will apply industry knowledge to inquiries, ensuring client best interests, and continuously expanding knowledge of securities industry laws, regulations, products, and ethical standards.

Must Have

• Make independent suitability decisions when reviewing and approving an array of transactions.
• Consistently enforce compliance policies and guidelines and escalate concerns.
• Work closely with agency management and field reps to ensure business is conducted within guidelines.
• Ask pertinent questions to gather relevant facts and make sound recommendations.
• Communicate effectively (both written and oral) with agency management and field reps.
• Generate frequent and constructive commentary on items of concern, ongoing issues, and recurring patterns.
• Proactively identify concerns/issues as part of daily responsibilities.
• Demonstrate sound and consistent supervisory judgment based on thorough review of information.

Good to Have

• Series 4 and 53 certifications.

Perks & Benefits

• Support and flexibility to achieve professional and personal goals.
• Skill-building, leadership development, and philanthropic opportunities.
• Opportunities to build communities and grow your career.
• Surrounded by diverse colleagues with high ethical standards.
• Contemporary, supportive, flexible, and inclusive benefits and resources.

The Supervision and Business Risk (“SaBR”) team is seeking a positive professional to join the team as a Supervision Advisor on our Brokerage suitability team!

You are

The right candidate will have the ability to build positive relationships with both the local agency management team and our field reps while also working in a high-volume, fast-paced environment. In this role, the registered principal will apply industry knowledge when responding to inquiries and requests while also insuring the best interest of the client. This individual will be expected to increase their knowledge and application of the laws, regulations, products, and ethical standards of the securities industry.

You will

• Make independent suitability decisions when reviewing and approving an array of transactions including, but not limited to, brokerage accounts at account opening and annuity purchases
• Consistently enforce compliance policies and guidelines and escalate concerns when it is appropriate to do so
• Work closely with agency management and field reps by establishing and maintaining positive working relationships to ensure the 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 and field reps using clear, concise, and understandable language
• Generate frequent and constructive commentary on items of concern, ongoing issues, and recurring patterns
• Proactively identify concerns/issues as part of one’s daily responsibilities
• Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available

You have

• Bachelor’s Degree, or equivalent work experience
• At least 3 years of financial services industry experience, including at least 2 years acting in a supervisory capacity
• Must have Series 7, 24, or 9/10 (or equivalent) and 63/65 or 66
• Series 4 and 53 are a plus
• Proficient in MS Office skills including Excel, SharePoint, Word, and PowerPoint.
• Excellent verbal and written communication skills.
• Strong knowledge of FINRA, SEC, and State rules and regulations required.
• Strong knowledge of variable annuities, structured notes, and other financial products is required.
• Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities.

Salary Range:

$70,930.00 - $106,390.00

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. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits. 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 applicant_accommodation@glic.com.

**Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.