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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in conducting suitability and eligibility reviews for various investment transactions, ensuring compliance with regulatory requirements and firm policies. Proficient in analyzing alternative investments and annuities while maintaining effective communication with advisors and supervisors.
Highest-signal resume keywords
FINRA Series 7FINRA Series 63FINRA Series 24Alternative Investment KnowledgeAnalytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Suitability ReviewsInvestor Eligibility AnalysisTransaction ComplianceData Entry in Sales Supervision PlatformDocumentation of FindingsEvaluation of Investor QualificationReview of Non-Traded Alternative InvestmentsResearch and Analysis of TransactionsMonitoring Internal ControlsWorkflow Management
Soft Skills
Excellent Written CommunicationExcellent Verbal CommunicationProblem-Solving SkillsTask PrioritizationCollaboration
Tools & Technologies
Sales Supervision Pre-Approval Platform
Certifications & Qualifications
FINRA Series 65Life & Variable Insurance Licenses
Industry Keywords
Variable AnnuityRegistered Index-Linked AnnuityFixed Indexed AnnuityPrivate PlacementsDelaware Statutory TrustsExchange FundsNon-Traded REITsRegulatory RequirementsBest-Interest ConsiderationsSubmission Deficiencies
About the role
Key responsibilities & impact- Conduct suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval
- Review non-traded alternative investments, including private placements, Delaware Statutory Trusts, exchange funds, non-traded REITs, and other alternative investment offerings
- Review Variable Annuity, Registered Index-Linked Annuity, and Fixed Indexed Annuity initial purchases and replacements
- Research and analyze proposed transactions
- Evaluate investor qualification requirements and suitability and best-interest considerations
- Document findings, rationale, and approval or rejection decisions
- Ensure transactions comply with firm policies, procedures, and applicable regulatory requirements
- Review assigned transactions daily and work with advisors to address submission deficiencies
- Complete data entry in the Sales Supervision pre-approval platform and document analysis, communications, resolutions, and conclusions
- Provide written approval or rejection recommendations after suitability analysis
- Collaborate on escalated issues and rejections
- Monitor, report, and enforce internal controls
- Maintain timely workflow and meet regulatory deadlines
- Maintain relationships with Advisors and First-Line Supervisors
Requirements
What you’ll need- Minimum of high school diploma or equivalent is required
- Bachelor’s degree preferred
- Significant experience may be considered in lieu of a degree
- At least 1–2 years related experience
- Basic VA, RILA, FIA annuity and Alternative Investment knowledge
- FINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required
- FINRA Series 65 or Series 66 preferred
- Life & Variable Insurance licenses preferred
- Excellent written and verbal communication skills
- Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
- Analytical and problem-solving skills
Benefits
Comp & perks- Annual bonus
- Health insurance
- Vision insurance
- Dental insurance
- 401k
- Paid time away
- Volunteer days