VP, Annuity Sales Compliance & Oversight

Software Guidance & Assistance, Inc. (SGA, Inc.); Hartford (CT); On-site; USD 150,000 - 200,000; Full time

Job summary

A leading financial services company in Hartford, CT is seeking a Vice President, Annuity Sales Practices & Supervision. This role involves managing compliance, agent oversight, and supervisory functions to ensure adherence to regulatory standards. The ideal candidate will have significant experience in supervision, strong analytical skills, and a proven ability to lead teams in a highly regulated environment. Join a company that values integrity and customer service, with a focus on long-term growth and ethical conduct.

Qualifications

• 5+ years of experience in suitability, supervision, or sales practice governance.
• Strong working knowledge of annuity suitability regulations.
• Proven experience leading broker-dealer oversight and supervisory testing.

Responsibilities

• Lead and manage a team for daily suitability review and agent monitoring.
• Establish supervisory expectations for decisions.
• Drive data-driven oversight through management reporting.

Skills

Suitability analysis

Agent oversight

Team management

Regulatory compliance

Analytical skills

Education

Jurisdiction Doctor preferred; Bachelor's degree required

Job description

A leading financial services company in Hartford, CT is seeking a Vice President, Annuity Sales Practices & Supervision. This role involves managing compliance, agent oversight, and supervisory functions to ensure adherence to regulatory standards. The ideal candidate will have significant experience in supervision, strong analytical skills, and a proven ability to lead teams in a highly regulated environment. Join a company that values integrity and customer service, with a focus on long-term growth and ethical conduct.