Principal Review Specialist

Perform brokerage and insurance regulatory sales supervision for the company’s broker-dealer and insurance agency subsidiaries. Review subsets of rollovers, securities, and insurance transactions to ensure compliance with regulatory and firm standards, including suitability and client best interests. Conduct follow-ups to evidence review outcomes, support regulatory exams, maintain procedures, and partner across Compliance, Brokerage Operations, Technology, and Sales to strengthen a best-in-class sales supervision program.