VP, Sales Practices & Supervision

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 (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
• + 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

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