Suitability Registered Principal

As a part of the Supervision and Business Risk (SaBR) team, the individual(s) in this role is/are responsible for partnering with General Agents, Career Development Managers, and Agency Supervisory Officers to perform certain delegated supervisory functions in a home office setting to ensure compliance and regulatory requirements are achieved. The Registered Principal, SaBR will be responsible for certain supervisory functions related to the field sales force.

You will

• Review of all new accounts and trades for a variety of registered products and investment strategies, which may include options, stocks & bonds, 529 plans, variable annuities, mutual funds, insurance, and brokerage accounts.

• Responsible for making independent suitability decisions when reviewing and approving an array of transactions including, but not limited to, brokerage accounts at account opening and annuity purchases.

• Complete review of internal and external e-mails sent and received by Guardian sales associates to detect and address potential business practices issues.

• Consistently enforces 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

• In-depth knowledge of all financial products such as annuities and mutual funds, asset allocation, risk/return metrics, common portfolio management concepts and practices, as well as FINRA, SEC, and State rules and regulations.  

• Bachelors Degree or equivalent work experience

• At least 2 years of experience in Financial Services in a supervisory or compliance capacity

• Series 7

• Series 65 or 66

• Series 24 or 9 & 10

Salary Range:

$57,810.00 - $86,715.00

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 med