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Job Summary:

The Traditional Product team oversees annuity and insurance transactions for Branch Managers as well as Financial Advisors based on certain risk criteria. The team also conducts certain back-end exception reviews, as well as some packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to determine the suitability of the transactions in accordance with industry regulation and firm guidelines. In addition, the team detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability. The advisor of the Annuity and Insurance Products review team will use knowledge of industry regulations to support the Traditional Products supervision function that administers and analyzes suitability reviews to detect trends and trading patterns to ensure adherence to securities industry regulations and limit firm liability. Some guidance

is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity.

Essential Duties and Responsibilities:

• Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems.

• Pro-actively monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.

• Interfaces with sales management, other supervision associates, and compliance associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.

• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.

• Monitors and keeps up to date with the annuity and insurance offerings at the Firm and applies this knowledge in making appropriate suitability determinations.

• Assists in educating branch managers/financial advisors and branch associates regarding the Firms guidelines as it relates to the sale of annuity and insurance products including replacements.

• Assists in researching Supervision issues.

• Assists in developing training programs.

• Prepares and delivers written and oral presentations to business units.

• May participate in the formation of policies related to compliance.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Suitability and other compliance issues involved with branch manager/FA trading activity.

• Knowledge of annuities and insurance products including general understanding of broker dealer interface with insurance carriers.

• Ability to build rapport with branch associates and uses effective communication skills to deliver outcomes of suitability determinations both positive and negative.

Skill in:

• Operating standard office equipment and using required software applications to

produce correspondence, reports, electronic communication, spreadsheets,

presentations, and databases.

• Critical thinking and decision-making, involving the interpretation of regulatory rules

and compliance policies.

• Detail orientation to ensure the regulatory liability is limited, without impairing

workflow.

• Utilizing business-appropriate phone manners.

Ability to:

• Independently manage and complete multiple projects and tasks; work

independently with minimal direct supervision.

• Use appropriate interpersonal styles and communicate effectively and

professionally, both orally and in writing, with all organizational levels including

branch managers/FAs.

• Establish and communicate clear directions and priorities.

• Provide a high level of customer service.

Educational/Previous Experience Recommendations:

• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of

experience in Supervision and/or the financial services industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by

Human Resources.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

o SIE required provided that an exemption or grandfathering cannot be applied.

o Required to have Series 7, 24 and 63, Series 66 can be used in lieu of the 63,

o Series 9 and 10 can be used as an equivalent to the 24

• State Insurance License in which candidate resides required

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.