Supervisory Principal – Compliance

Protective Life is seeking a Supervisory Principal to join our Compliance team. This critical role ensures that annuity and life insurance transactions meet regulatory and company standards. You will review and approve applications for fixed and indexed annuities sold through third‑party distributors, as well as life insurance policies sold in New York, and provide oversight for our limited‑purpose broker‑dealer and support compliance projects that strengthen our Protection and Retirement business.

$62,000.00/yr - $76,500.00/yr

• 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 (e.g., Regulation 60)
• 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

• Strong understanding of compliance principles and regulatory requirements
• Excellent oral and written communication skills
• Ability to multi‑task and manage high‑volume work in a fast‑paced environment
• Strong analytical and problem‑solving skills
• Knowledge of fixed and fixed‑indexed annuities preferred
• Ability to make supervisory and regulatory decisions confidently

• 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, Power point) required

Protective Life offers a broad benefits package that includes comprehensive health, dental, and vision insurance, mental health benefits, an employee assistance program, paid time off, paid parental leave, short‑term disability, and a cultural observance day. Financial benefits include contributions to healthcare accounts, a pension plan, a 401(k) plan with company matching, and access to Pro Health Rewards, our platform for improving wellbeing while earning cash rewards.

If you require an accommodation to complete the application and recruitment process due to a disability, please email  This information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process.

Protective Life is an equal‑opportunity employer committed to inclusion and diversity.

Artificial intelligence tools may be used to support parts of the hiring process, such as reviewing applications or assessing responses. Final hiring decisions are made by humans.

Not Applicable

Full‑time

Education and Training

Insurance