Compliance - Suitability Checks - Senior Professional

Role Overview: You will be responsible for supporting compliance and operational oversight for the Firms Individual Markets Team, specifically focusing on the Suitability Team. Your primary role will involve reviewing and analyzing annuity application submissions from a Suitability perspective under applicable state and federal laws and regulations. Key Responsibilities: - Make sound suitability decisions in accordance with the NAIC Suitability in Annuity Transactions Model Regulation and other federal laws and regulations, along with industry best practices and company standards and guidelines. - Ensure adherence to internal policies and procedures as well as state and federal regulatory requirements pertaining to the annuity suitability review process. - Identify whether distribution specific annuity applications received by the company are approved, not-in-good-order, or declined from a suitability and other business rule perspective. - Ability to identify resolutions with suitability and other business requirements while balancing a client and company-centric mindset. - Experience with interfacing and comfortably communicating suitability or other requirements with business partners while identifying commercially available resolutions. - Ability to understand broader business requirements and creatively identify resolutions. - Comprehensive knowledge of fixed/indexed annuity products, Independent and Broker-dealer channels pertaining to suitability and other annuity processing related items. - Broad understanding of annuity order entry platforms i.e., Firelight, AN4, eBix, and processing requirements including but not limited to, State Replacement requirements, and certain state required filings. - Assist as needed with Third Party suitability oversight program. Qualifications: - Undergraduate or Postgraduate degree required. - 5-7 years of overall experience, with 1-3 years of direct suitability and annuity experience at a Broker-Dealer or Insurance Company, demonstrating a strong understanding of compliance and operational requirements. - Proven ability to thrive in fast-paced, dynamic environments. - Motivated team player with a high level of personal integrity, accountability, and maturity. - Strong analytical and problem-solving skills; capable of working independently. - Excellent relationship-building and collaboration skills. - Demonstrated ability to exercise sound judgment. - Strategic thinker with the ability to influence outcomes and understand broader business objectives.,