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Agency Supervisory Officer Jobs (NOW HIRING)

City of Brighton, CO

Police Officer

Brighton, CO · On-site

$76K - $111K/yr

... supervisor. EXAMPLES OF ESSENTIAL RESPONSIBILITIES AND DUTIES * Responds to requests for assistance from the public, fellow officers, fire department, ambulance services, and other police agencies.

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Agency Supervisory Officer information

What is the difference between Agency Supervisory Officer vs Compliance Officer?

AspectAgency Supervisory OfficerCompliance Officer
CredentialsRelevant certifications, often including regulatory or industry-specific licensesCertifications like CCEP, CRC, or similar compliance-related credentials
Work EnvironmentRegulatory agencies, government departments, or financial institutionsCorporate offices, financial institutions, or consulting firms
Employer & IndustryGovernment agencies, regulatory bodies, or agencies overseeing compliancePrivate companies, financial services, or consulting firms
Search & Comparison IntentUnderstanding roles related to oversight and regulation within agenciesComparing compliance roles within organizations or industries

The Agency Supervisory Officer and Compliance Officer roles both involve regulatory oversight, but the Supervisory Officer typically works within government or agency settings focusing on enforcement and supervision, while the Compliance Officer ensures organizations adhere to laws and regulations. Both roles require similar certifications and are integral to maintaining industry standards.

What is an agency supervisory officer?

Agency Supervisory Officers are professionals responsible for overseeing compliance and regulatory standards within financial or insurance agencies. They monitor the activities of agents and representatives to ensure adherence to company policies and industry regulations. Their duties often include conducting audits, providing training, handling escalated compliance issues, and serving as a liaison between the agency and regulatory bodies. This role is critical for maintaining ethical standards and protecting both clients and the organization from legal risks.

What are the key skills and qualifications needed to thrive as an agency supervisory officer, and why are they important?

To thrive as an Agency Supervisory Officer, you need a solid understanding of regulatory compliance, risk management, and supervisory procedures, typically supported by a bachelor's degree in finance or a related field and relevant industry licenses (such as FINRA Series 24). Familiarity with compliance monitoring tools, case management systems, and industry best practices is essential. Strong leadership, analytical thinking, and effective communication are vital soft skills for managing teams and ensuring adherence to standards. These skills are crucial to maintaining regulatory compliance, minimizing organizational risk, and fostering a culture of ethical conduct within the agency.

How does an agency supervisory officer typically collaborate with agents to ensure compliance and support their professional development?

An Agency Supervisory Officer regularly works with agents by conducting compliance reviews, offering guidance on regulatory requirements, and providing feedback on best practices. This collaboration often includes organizing training sessions, helping agents interpret policies, and acting as a resource for resolving compliance issues. Additionally, Supervisory Officers may mentor agents and facilitate their access to tools or continuing education, supporting both compliance and professional growth. Open communication and a supportive approach are key to building trust and ensuring both regulatory standards and agency goals are met.
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What job categories do people searching Agency Supervisory Officer jobs look for? The top searched job categories for Agency Supervisory Officer jobs are:
Agency Supervisory Officer jobs near you
Infographic showing various Agency Supervisory Officer job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution.

Suitability Principal - VUL & Group Plans

MassMutual

Raleigh, NC • Remote

$69K - $90K/mo

Full-time

This job post has expired today. Applications are no longer accepted.

Job description

The Opportunity

As a Suitability Principal (VUL & Group Plans) you will conduct back-office review and firm-acceptance of as well as suitability reviews for accounts clearing through National Financial Services (NFS). In this role, as well as all roles within MassMutual, you will demonstrate accountability, agility, a dedication to be inclusive, a strong business acumen, and will show courage, even in the most difficult situations. We also highly value strong communication skills, a passion for learning, leadership traits, resilience and self-awareness.

The Team

The MML Investors Services, LLC New Business Team is comprised of highly skilled, financial services professionals who render collaborative new business reviews  to our Financial Advisors. Team members demonstrate high levels of competence in the areas of resilience, accountability, agility, and are focused on continuous improvement and development. The team culture is collaborative, cross-functional, and fosters high performance results with an emphasis on encouraging a healthy work/life balance. We seek to provide best-in-class service to sophisticated Advisors as they provide their clients with a holistic suite of wealth management products and solutions. Specifically, this position will sit on the MMLIS Special Product New Business Team. This team supports variable life and group retirement plan reviews  and may support the review of other new business investment classes.

The Impact

Key Responsibilities Include:

  • Conduct back-office review and firm-acceptance of new and existing submissions related to Brokerage, Direct and Third-Party Advisory accounts

  • Review trading activity of registered representatives through supervisory control procedures and application of firm policies and procedures and will require the associate to eventually become a subject matter expert for all previously referenced lines of Inforce Business, including a solid understanding of our platforms and systems

  • Determine root cause of issues, provide solutions, and resolve matters independently without management supervision at times.

  • Implementation and management of operational and supervisory procedures for the firm

  • Ability to effectively communicate with registered representatives, agency personnel, and internal business partners such as Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of securities such as Options trading and Municipal Securities may be required. Involved daily in complex problem resolution requiring higher level critical thinking

  • Consult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines

  • Consistently identify and report to management on trending and risk mitigation measures

The Minimum Qualifications

  • FINRA Series 7 & 24 required at time of application

  • 2+ years MMLIS Experience or 3+ years' experience within the brokerage/advisory space

  • High School Diploma or equivalent

  • ** Principals working 100% remotely may be subject to on-site inspection by MML and/or regulators

  • ***Candidates residing within 50 miles of the MassMutual Springfield office will be expected to work a Hybrid schedule of 3 days a week in the office

The Ideal Qualifications

  • 3+ years MMLIS experience and / or 5+ years' experience conducting suitability reviews within the brokerage/advisory space

  • 2+ years experience with variable universal life and group retirement plans

  • 2+ year experience with Microsoft Excel and performing pivot tables

  • Ability to work in a fast paced, ever changing environment

  • High degree of ownership and sense of urgency

  • College degree preferred with a concentration in business or finance.

  • Superior customer service skills

  • Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style

  • High aptitude for effective problem resolution

  • Strong organizational and time management skills are essential.

  • Passion for embracing business process improvement opportunities.

  • High aptitude for effective problem resolution

  • Must be able to think independently and tactfully challenge the opinions of others

What You Can Expect at MassMutual

MassMutual offers the opportunity to do meaningful work within a purpose-driven organization that values long-term impact over short-term outcomes. In this role, you can expect:

  • Clear areas of ownership and accountability, with work that connects directly to company and customer outcomes 

  • A collaborative environment where perspectives are welcomed

  • Access to learning, development, and internal networks that support continuous growth and skill-building over time 

  • Employee-led communities and forums that foster connection, learning, and inclusion across the organization

  • A culture grounded in integrity, responsibility, and stewardship—supported by a company with a strong legacy and a future-focused mindset

#LI-DK1

#LI-REMOTE

MassMutual is an equal employment opportunity employer. We welcome all persons to apply.
If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.
California residents: For detailed information about your rights under the California Consumer Privacy Act (CCPA), please visit our California Consumer Privacy Act Disclosures page.

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