A large, well-established retirement and insurance platform is seeking a Vice President, Compliance to lead enterprise oversight of annuity suitability, agent supervision, and broker-dealer monitoring programs. This is a senior leadership role responsible for ensuring sales practices, agent conduct, and supervisory controls align with regulatory requirements while supporting sustainable business growth.
This position serves as a key supervisory control owner and plays an important role in promoting a culture of compliance, ethical conduct, and consumer protection across multiple distribution channels.
Key Responsibilities
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Lead and manage a team responsible for annuity suitability reviews, agent monitoring, supervisory escalations, and exception handling
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Oversee agent onboarding and ongoing supervision, including licensing verification, background screening, and eligibility oversight
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Design and enhance supervisory testing and monitoring programs, including risk-based surveillance and trend analysis
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Provide oversight of broker-dealer-affiliated distribution and ensure consistent application of supervisory standards
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Exercise independent judgement on complex suitability and agent conduct matters, including remediation and risk mitigation decisions
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Drive data-informed oversight through reporting, key risk indicators, and root-cause analysis
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Partner with Legal, Compliance, Risk, Distribution, and Operations to interpret regulatory requirements and implement program enhancements
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Support regulatory examinations, audits, and inquiries, ensuring strong documentation and timely remediation
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Lead internal and external education initiatives related to suitability and supervisory expectations
Leadership Expectations
The Vice President will set the tone for accountability, sound judgement, and regulatory discipline. This role promotes early issue identification, thoughtful escalation, and decision-making that prioritizes customer outcomes and long-term risk management.
Qualifications
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5+ years of experience in suitability, supervision, sales practice governance, or agent oversight within life insurance, annuities, or broker-dealer environments
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Strong knowledge of annuity suitability requirements, state insurance regulations, and supervisory frameworks
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Experience overseeing supervisory testing, agent monitoring, and broker-dealer oversight programs
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Demonstrated leadership experience managing teams and driving program enhancements
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Experience supporting regulatory examinations, audits, and remediation efforts
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FINRA licenses
