Supervision Advisor - Suitability 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

• Make independent suitability decisions when approving all Investment Advisor accounts at account opening (including the review of Advice Capture within PAS approved systems).

• Enforce Investment Advisory platform compliance policies and guidelines and raise concerns when it is appropriate to do so.

• Train and educate General Agents, Career Development Managers, Agency Supervisory Officers and Field Representatives on an ad hoc basis.

• Handle any special projects and initiatives assigned by management as needed including but not limited to audits, new product introductions, critical analysis of current trends and patterns.

• Demonstrate consistently sound judgment based upon regulatory requirements and firm policy in making suitability decisions. Document in a professional and consistent manner the rationale employed in the decision-making process.

• Partner with field associates to address items resulting from supervisory reviews. Will include regular conference calls with various field leaders and partners to discuss ways to resolve or address issues. May include training and educating field leaders on regulatory issues that have been identified.

• Help develop, document, and maintain SaBR policies and procedures to ensure they align with industry standards and regulatory requirements.

• Professionally represent the SaBR Team and make internal and external clients feel comfortable, establish, maintain and reinforce relationships while addressing issues that require remediation. Where applicable, communicate with clients regarding account activity when required.

• Additional supervisory responsibilities may be centralized and added to expectations and job responsibilities.

You have

• In-depth knowledge of variable products and mutual fund business, asset allocation, risk/return metrics, and common portfolio management concepts and practices.

• 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$69,380.00 - $104,067.50

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.

Health Care

• Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits

• Dental plan

• Vision plan

• Health care accounts – flexible spending, health reimbursement, and health savings accounts

• Critical illness insurance

Life and Disability Insurance

• Company-paid Life and Disability insurance plus voluntary supplemental coverage

• Accident insurance

Retirement and Financial

• 401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable

• Complimentary 1:1 financial guidance with a licensed Fidelity representative

Time Off and Remote Work

• 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

• Personal holidays for colleagues to use in recognition of religious, cultural, or civic days

• Paid parental leave and paid family and medical leave policies

Emotional Well-being and Work-Life

• Emotional well-being, mental health, and work/life resources powered by Spring Health

• Wellness programs, including fitness program and equipment reimbursement

• Child, adult, and elder back-up care support through Bright Horizons

• Adoption assistance

• College planning

• Tuition reimbursement

• Student loan assistance

• Commuter benefits in select metropolitan areas

Equity & Inclusion

Opportunities to build inclusive and meaningful connections through involvement in colleague-led affinity groups:

• Employee Resource Groups:

• Colleague Connection Committees

• Community Involvement Committees

A culture that encourages colleagues to bring their authentic selves to work

• Voluntary self-ID

• Pronunciation and phonetic spelling of names

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 medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact [email protected].

Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.