Supervisory Principal – Compliance
Protective Life
full-time
Posted on:
Location Type: Hybrid
Location: Birmingham • Alabama • 🇺🇸 United States
Visit company websiteSalary
💰 $62,000 - $76,500 per year
Job Level
Lead
About the role
- Review and approve annuity applications for suitability and compliance with company guidelines
- Review and approve life insurance policies sold in New York, ensuring adherence to state-specific requirements
- Collaborate with producers and wholesalers to proactively assess annuity sales for suitability prior to submission
- Monitor and interpret state laws and regulations, including NAIC Suitability in Annuity Transactions Model Regulation
- Recommend program enhancements and assist in developing compliance training
- Conduct quarterly oversight of FINRA-registered firms, focusing on suitability practices and complaint reviews
- Approve new FINRA-registered firms by reviewing supervisory procedures, forms, and conducting due diligence
- Identify trends related to producers or firms based on declined submissions and other data
- Assist with market conduct analysis, executive reporting, and annual certifications for selling firms
Requirements
- Bachelor’s degree or equivalent work experience
- 1–3 years of industry experience required
- Life and Health Insurance license (or ability to obtain within 90 days)
- Series 6 or 7 licenses preferred
- Familiarity with FINRA regulations and suitability standards is a plus
- Expertise in Microsoft 365 applications (Word, Excel, Powerpoint) required
Benefits
- comprehensive health, dental and vision insurance
- mental health benefits
- employee assistance program
- paid time off
- paid parental leave
- short-term disability
- cultural observance day
- contributions to healthcare accounts
- pension plan
- 401(k) plan with Company matching
- ProHealth Rewards platform for wellbeing with cash rewards
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance trainingmarket conduct analysissuitability practicescomplaint reviewsdue diligencedata analysisprogram enhancementsexecutive reporting
Soft skills
collaborationcommunicationanalytical thinking
Certifications
Bachelor’s degreeLife and Health Insurance licenseSeries 6 licenseSeries 7 license