Senior Annuity & Insurance Supervision Officer

About The Role

We’re looking for a collaborative and solutions-oriented professional with deep expertise in annuity and insurance supervision, regulatory requirements, and risk management. In this role, you’ll review annuity and insurance transactions to help ensure business is conducted in accordance with firm policies, supervisory standards, and regulatory expectations while supporting a culture of integrity, compliance, and client-focused decision making. You’ll serve as a trusted partner to Financial Advisors, branch associates, branch leadership, and internal business partners, helping navigate supervisory requirements in a practical and business-minded way.

Responsibilities

• Evaluate daily annuity and insurance transactions to assess completeness, product suitability, best interest considerations, and alignment with firm policies and supervisory standards.
• Identify missing information, documentation gaps, inconsistencies, or supervisory concerns, and work directly with Financial Advisors and branch associates to obtain clarification, corrections, or additional support needed to complete the review.
• Escalate higher-risk, complex, or sensitive matters to management, regional Senior Supervisory Officers, Compliance, or other control partners, and follow issues through resolution.
• Serve as a subject matter resource for advisors, branch leadership, and internal partners on annuity and insurance supervisory requirements, documentation expectations, and transaction-related questions.
• Work as a partner to the field by helping advisors and branch teams navigate supervisory requirements in a practical, solutions-oriented way that supports the business while maintaining firm and regulatory standards.
• Document supervisory reviews, decisions, and follow-up in a clear and timely manner to support regulatory defensibility, internal transparency, and consistent supervisory outcomes.
• Monitor recurring issues, identify trends in transaction quality or advisor behavior, and partner with leadership to recommend training, process improvements, or control enhancements.
• Participate in departmental initiatives, testing, training, and other special projects that support the continued evolution of annuity and insurance supervision.

Requirements

• Bachelor's degree, or equivalent work experience, in the financial industry
• FINRA SIE, Series 7, 24, or 9/10, and Life/Health license required
• Certified Annuity Specialist designation preferred, or obtain within 12 months
• Knowledge of Microsoft Excel, Word, and Adobe Acrobat
• Superior oral and written communication skills
• Experience resolving highly sensitive and complex issues with composure and a partnership mindset
• Expert on the laws, regulations, products, and ethical standards of the insurance and annuity industry
• Able to identify potential areas of concern while prioritizing work assignments and taking ownership of issues through to completion
• Strong organizational and analytical skills with exceptional attention to detail
• Change driver
• Positive attitude, enthusiastic about working in a compliance and regulated environment