Sr Sales Supervision Principal

Location: Work from home, USA

Salary: $70,000–$80,000 annually, plus eligibility for an annual bonus of 10%.

Company

hirify.global is an international financial services company providing insurance, retirement, investment, and employee benefit solutions.

What you will do

• Conduct principal review and approval for mutual funds, variable annuities, variable life insurance, 529 plans, brokerage transactions, and advisory accounts.
• Assess suitability, client best interest, business-line controls, quality reports, and exception reports.
• Develop training and guidance on submission processes, firm requirements, and best interest standards.
• Maintain Written Supervisory Procedures, desktop procedures, and quick reference guides.
• Research and resolve inquiries from financial professionals and internal departments, escalating issues when needed.
• Support regulatory system implementations, special projects, supervisory policy improvements, and regulatory audits.

Requirements

• Bachelor’s degree in finance, business, or a related field, or equivalent professional experience.
• At least five years of experience in suitability or best interest review, investment supervision, or a related compliance function.
• FINRA Series 7 and Series 24 licenses.
• FINRA Series 63 and 65, or Series 66 with Series 7; Series 51 or 53, or the ability to obtain the required licenses within 12 months.
• Strong knowledge of securities products and FINRA, SEC, and DOL regulatory frameworks.
• Excellent analytical, problem-solving, decision-making, written, and verbal communication skills; proficiency in Microsoft Office.

Nice to have

• Experience with Docupace, Wealthscape, FIS, RightBRIDGE, surveillance, business processing, and Reg BI platforms.
• Knowledge of process improvement methodologies and technology solutions such as AI.

Culture & Benefits

• Remote work environment with a focus on collaboration, accountability, inclusion, and work-life balance.
• Comprehensive benefits including medical, dental, vision, disability insurance, pension, 401(k) match, and employee stock purchase options.
• Paid time off starting at 160 hours annually, paid holidays, and eligible parental and adoption assistance.
• Tuition reimbursement, career training, wellness programs, employee assistance, and backup care.
• Employee resource groups, inclusion and diversity programs, volunteer PTO, and matching gifts.