Senior Associate, Suitability Compliance Principal

Employer Industry

Life Insurance and Financial Services

• Salary up to $100,000
• Eligible for discretionary bonuses and participation in an incentive program
• Comprehensive benefits package including leave programs, adoption assistance, and student loan repayment
• Opportunities for career advancement and growth within a Fortune 100 mutual company
• Supportive and inclusive work environment that values diverse perspectives
• Chance to contribute to meaningful work that impacts communities and families

• Review life insurance, annuity, and mutual fund transactions for suitability
• Monitor customer transactions and elevate to Corporate Compliance as needed
• Resolve escalated cases requiring review by a Registered Principal
• Conduct outreach to agents regarding transactions pending review and gather necessary information
• Provide support and coaching to team members on suitability recommendations

• Bachelor’s degree and/or equivalent experience
• 3+ years experience in securities industry, preferably with Life, Annuity, and Mutual Fund products
• Active FINRA Series 6 and 26 licenses required
• Strong written and verbal communication skills
• Detail-oriented with excellent judgment and investigative skills

• FINRA Series 7 and 24 licenses
• Experience with data analytics to identify trends and training opportunities
• Familiarity with FINRA, SEC, and state insurance regulations

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