VP, Sales Practices & Supervision

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

Software Guidance & Assistance, Inc. (SGA) is searching for an Vice President, Annuity Sales Practices & Supervision f or a FULL TIME assignment with one of our premier Financial clients in their Hartford, Ct. offices.

Position Overview

The Vice President, Suitability, Supervision & Agent Monitoring is responsible for enterprise governance, execution, and continuous enhancement of annuity suitability, agent supervision, and broker‑dealer oversight programs. This role serves as a senior supervisory control owner, ensuring annuity sales practices, agent conduct, and suitability determinations comply with applicable state insurance laws, NAIC Model Regulation 275 (Suitability in Annuity Transactions), broker‑dealer supervisory standards, and internal policies.

This position plays a critical role in promoting a strong culture of compliance, consumer protection, ethical conduct, and regulatory accountability across all distribution channels, while supporting sustainable growth and long‑term risk management.

Key Responsibilities

• Lead and manage a team responsible for daily suitability review, agent monitoring, supervisory escalations, exception handling, and agent lifecycle oversight, including broker‑dealer‑affiliated distribution.
• Oversee agent onboarding and credentialing controls, including background checks, licensing and appointment verification, disciplinary history review, and ongoing re‑screening.
• Establish clear supervisory expectations for rigor, consistency, timeliness, and documentation to ensure decisions are well‑supported and regulatory defensible.
• Design, implement, and continuously enhance supervisory testing and monitoring programs, including broker‑dealer oversight, risk‑based surveillance, suitability trend analysis, red‑flag identification, and corrective action plans.
• Exercise independent judgment in moderate to highly complex suitability and supervisory matters, including escalations, remediation decisions, and risk mitigation strategies.
• Drive data‑driven oversight through management reporting, key risk indicators, and root‑cause analysis to strengthen controls and reduce repeat issues.
• Partner with Legal, Compliance, Risk, Distribution, Operations, and third‑party administrators to interpret regulatory requirements and ensure consistent application of supervisory standards.
• Lead agent, broker‑dealer, and internal education initiatives related to suitability requirements, supervisory expectations, and regulatory developments.
• Support regulatory examinations, audits, and inquiries by ensuring audit readiness, strong documentation, and timely remediation of findings.

Leadership & Culture Expectations

This role sets and reinforces the tone for ethical conduct, accountability, and regulatory discipline. The Vice President promotes a culture of professional judgment, independent challenge, and appropriate escalation, with decisions that prioritize customer outcomes and long‑term risk management over short‑term business considerations. Teams are empowered, well‑trained, and held accountable to consistently meet supervisory and compliance expectations.

Experience & Education Requirements

• Juris Doctor preferred; Bachelor’s degree required.
• 5+ years of experience in suitability, supervision, agent oversight, or sales practice governance within life insurance, annuities, and/or broker‑dealer environments.
• FINRA securities licensure preferred.
• Demonstrated experience managing teams and setting clear performance and accountability expectations.
• Proven experience leading broker‑dealer oversight, supervisory testing, agent monitoring, and background screening programs.
• Strong working knowledge of annuity suitability regulations, state insurance producer licensing requirements, and broker‑dealer supervisory frameworks.
• Experience supporting regulatory examinations, audits, and remediation related to agent conduct and suitability.

SGA is a technology and resource solutions provider driven to stand out. We are a women‑owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let’s work better together, we mean it. You’ll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at https://sgainc.com/.

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company EEO page to request an accommodation or assistance regarding our policy.