{"id":3849435,"url":"https://alion.io/job/osaic-sales-supervision-principal","title":"Sales Supervision Principal","company":{"id":2237959,"name":"Osaic\"","domain":"osaic.com","url":"https://alion.io/company/osaic","size_band":"501-1000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"B","score":75,"open_postings":14,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":null,"computed_at":"2026-11-11T05:49:22Z"}},"role":"HR","role_family":"HR","seniority":"lead","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Scottsdale, United States","Atlanta, United States","United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":65000,"max":75000,"currency":"USD","period":"year","gross":null,"usd_annual":75000},"salary_estimate":null,"experience_years_min":1,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-08-10T00:00:00Z","employer_posted_date":"2026-08-10","last_verified_at":"2026-11-11T12:05:07Z","board_verified":true,"closed_at":null,"days_open":94,"trust":{"level":"stale","repost_count":0,"flags":["stale"],"days_open":93},"description":"Current Employees and Contractors Apply Here\nOsaic Careers\nSupervision Principal Opportunity in Financial Services\nSales Supervision Principal\nLocation(s):\nAtlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339\nLa Vista:12325 Port Grace Blvd, La Vista, NE 68128\nOakdale: 7755 3rd St. N, Oakdale, MN 55128\nScottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255\nSt. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702\nOsaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.\nRole Type: Full-time\nSalary: $65,000 - $75,000 per year + annual bonus\nActual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.\nOur competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.\nSummary:\nThe Sales Supervision Principal conducts suitability, investor eligibility, and supervisory reviews of transactions requiring firm pre-approval, with a primary focus on non-traded alternative investments, including private placements, Delaware Statutory Trusts (DSTs), exchange funds, non-traded REITs, and other alternative investment offerings. The role also reviews Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements.\nUnder the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Sales Supervision Principal researches and analyzes proposed transactions, evaluates investor qualification requirements, assesses suitability and best interest considerations, and documents findings, rationale, and approval or rejection decisions. The role ensures transactions are processed in accordance with firm policies and procedures and in compliance with applicable regulatory requirements. Through effective risk assessment and supervisory oversight, the Sales Supervision Principal helps protect clients, First Line Supervisors (FLS), and the firm while supporting a consistent, efficient, and high-quality review process.\nEducation Requirements:\nBachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.\nResponsibilities:\nEnsures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissions\nCompletes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusion\nProvides a written recommendation of approval or rejection after a thorough suitability analysis is completed\nWorks with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejections\nStays fully informed of firm rules, guidelines, and procedures, as well as regulatory changes\nMonitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures\nKeeps timely workflow and ensures regulatory deadlines are met\nMaintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs)\nAll other duties as assigned.\nBasic Requirements:\nBasic VA, RILA, FIA annuity & Alternative Investment knowledge\nAt least 1 - 2 years related experience\nFINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are required\nExcellent written and verbal communication skills\nAbility to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines\nAnalytical and problem-solving skills\nPreferred Requirements:\nFINRA Series 65 or Series 66 preferred\nLife & Variable Insurance licenses preferred\nCurrent Employees and Contractors Apply Here","description_format":"text","description_chars":4326,"description_truncated":false,"requirements":{"experience_years_min":1,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"high_school","optional":false},"security_clearance":false,"languages":[]},"benefits":["401k plan","Dental insurance"],"hiring_locations":[{"name":"United States","iso":"US","kind":"country"}],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors"],"lifecycle":[{"event":"open","at":"2026-11-06T02:14:06Z"}],"visa":[{"country":"US","licensed_sponsor":true,"adverts_offering_sponsorship_24m":0,"sanctioned_now":false,"evidence":"green card filings: 1","filings_12m":0,"filings_prev_12m":1,"green_card_filings_12m":1,"median_offered_wage_usd":62500,"route":null,"cap_exempt":false,"checked_at":"2026-11-11T07:38:50+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)","US Department of Labor: PERM disclosure data (green cards)"],"filings_for_role_12m":0}],"liveness":{"score":8,"band":"cold","label":"Long shot","p_open":1,"p_active":0.292,"p_room":0.28,"age_days":93,"expected_fill_days":30,"reasons":["conf:4","stale_co","win:tail","crowd:"],"computed_at":"2026-11-11T05:49:22Z"},"pay":{"stated_usd_annual":75000,"is_top_pay":false},"html_url":"https://alion.io/job/osaic-sales-supervision-principal","json_url":"https://alion.io/job/osaic-sales-supervision-principal.json","meta":{"generated_at":"2026-11-12T00:11:07Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":394,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-13T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.1,"usd":0.01,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":2237959},"rest":"https://alion.io/mcp/rest/get_company?id=2237959"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fosaic-sales-supervision-principal"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":2,"usd":0.2},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fosaic-sales-supervision-principal"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.1,"usd":0.01},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fosaic-sales-supervision-principal"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/osaic-sales-supervision-principal\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fosaic-sales-supervision-principal"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3849435}},{"tool":"search_jobs","arguments":{"company":"osaic.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3849435},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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