Supervision Advisor

$56,680 - $85,015/Yr

Guardian Life - Pittsfield, MA

Full-time - Mid Level

Remote - Pittsfield, MA

5,001-10,000 employees

Insurance Carriers and Related Activities

About the position

The Supervision Advisor role at Guardian Life is part of the Supervision and Business Risk (SaBR) team, responsible for ensuring compliance and regulatory requirements are met in a home office setting. This position involves partnering with various stakeholders to perform supervisory functions related to the field sales force, making independent suitability decisions, and training field representatives on compliance policies.

Responsibilities

• Make independent suitability decisions when approving all Investment Advisor accounts at account opening.
• Enforce Investment Advisory platform compliance policies and guidelines and raise concerns when appropriate.
• Train and educate General Agents, Career Development Managers, Agency Supervisory Officers, and Field Representatives on an ad hoc basis.
• Handle special projects and initiatives assigned by management, including audits and new product introductions.
• Demonstrate sound judgment based on regulatory requirements and firm policy in making suitability decisions.
• Partner with field associates to address items resulting from supervisory reviews, including regular conference calls with field leaders.
• Help develop, document, and maintain SaBR policies and procedures to align with industry standards and regulatory requirements.
• Professionally represent the SaBR Team and communicate with clients regarding account activity when required.

Requirements

• In-depth knowledge of variable products and mutual fund business, asset allocation, risk/return metrics, and common portfolio management concepts.
• Bachelor's Degree or equivalent work experience.
• At least 2 years of experience in Financial Services in a supervisory or compliance capacity.
• Series 7 license.
• Series 65 or 66 license.
• Series 24 or 9 & 10 license.

Benefits

• Choice of medical plans with prescription drugs, including coverage for fertility and transgender inclusive benefits.
• Dental plan and vision plan.
• Health care accounts - flexible spending, health reimbursement, and health savings accounts.
• Company-paid Life and Disability insurance plus voluntary supplemental coverage.
• 401(k) retirement plan with a company match and profit-sharing contributions.
• 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.
• Emotional well-being and mental health resources powered by Spring Health.
• Wellness programs, including fitness program and equipment reimbursement.
• Tuition reimbursement and student loan assistance.