Life Insurance Trade Review Lead

Stifel Financial Corp.; Missouri; On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Comprehensive benefits package

Health, dental and vision care

401k

Wellness initiatives

Paid time off

Job summary

A leading financial services firm in Missouri is seeking a Trade Review Supervisor to ensure compliance with policies and procedures. The ideal candidate will review life insurance transactions, collaborate with compliance teams, and provide training to junior analysts. A Bachelor's degree, relevant licenses, and a minimum of two years' experience in the financial services industry are required. This role offers a comprehensive benefits package and opportunities for career growth.

Qualifications

• 2+ years of experience in financial services required, life insurance experience preferred.
• Knowledge of FINRA regulations, sales practices, and Investment Company act products required.
• Series 7, 63, 24 or 9 & 10, and Resident State Insurance License (Life and Health) required.

Responsibilities

• Ensure conformance to Stifel Policy and Procedures.
• Review and approve Life Insurance transactions.
• Train and mentor new Trade Review Analysts.
• Collaborate with compliance and operations departments.
• Provide subject matter expertise to FAs and Sales Assistants.

Skills

Knowledge of all brokerage products

Knowledge of multi-branch brokerage retail system

Solid knowledge of laws and tax codes

Understanding tax ramifications of insurance products

Knowledge of FINRA regulations

Knowledge of state insurance regulations

Education

Bachelor’s degree in Finance or related field

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

Job description

A leading financial services firm in Missouri is seeking a Trade Review Supervisor to ensure compliance with policies and procedures. The ideal candidate will review life insurance transactions, collaborate with compliance teams, and provide training to junior analysts. A Bachelor's degree, relevant licenses, and a minimum of two years' experience in the financial services industry are required. This role offers a comprehensive benefits package and opportunities for career growth.