Annuity Suitability & Compliance Lead

Sammons Financial Group Companies; West Des Moines (IA); On-site; USD 63,000 - 104,000; Full time

Benefits offered by this job

Health coverage

ESOP program

Friday early release

Paid time off & holidays

Tuition reimbursement & development

Job summary

Sammons Financial Group Companies is seeking a qualified Suitability Review Consultant in West Des Moines, IA, to conduct annuity suitability reviews and manage escalations. You will lead a team, coordinate with agents, and ensure compliance with NAIC and regulatory standards.

Responsibilities include overseeing case management, guiding staff, and applying product knowledge across variable, fixed, and indexed annuities.

Qualifications

• Bachelor's degree preferred.
• 5+ years in broker-dealer back office, annuity or insurance client service preferred.
• Series 6/26 licenses (or Series 7/24) or ability to obtain within 120 days.
• Strong verbal and written communication and analytical skills.

Responsibilities

• Determine suitability for annuity new business applications and gather information for analysis.
• Lead Suitability Review Consultants with workload management, coaching and case reviews.
• Provide case management support to top producers and manage pre-sale reviews.
• Maintain knowledge of annuity products and external financial products to support suitability reviews.
• Complete heightened reviews and analyze trends to inform management.
• Assist with monthly QA of suitability processes and mentor team members.
• Assist with annual re-certification/audit of third-party distributors for compliance.
• Support IT and Agile projects by facilitating meetings and user acceptance testing.
• Review reports and provide feedback to management and other consultants.

Skills

Strong communication

Analytical problem solving

Influence others

Organizational skills

Self-motivated

Adaptability

Overtime availability

Series 6/26 licenses or 7/24

FINRA SIE preferred

Travel availability

Education

Bachelor's Degree Preferred

Tools

Microsoft Office

Job description

Sammons Financial Group Companies is seeking a qualified Suitability Review Consultant in West Des Moines, IA, to conduct annuity suitability reviews and manage escalations. You will lead a team, coordinate with agents, and ensure compliance with NAIC and regulatory standards.

Responsibilities include overseeing case management, guiding staff, and applying product knowledge across variable, fixed, and indexed annuities.