The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.

Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.

Key Responsibilities:Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant annuity businessConduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriateCoach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity productsRoutinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been madeCommunicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulatorsIdentify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in ComplianceWork in collaboration with internal business areas