Annuities and Insurance Central Review Unit Vice President

Strong working knowledge of annuity products and their riders, benefits and features
Prior Risk, Compliance, Audit or Sales experience in annuities and/or branch supervision
Proficient understanding of areas of regulatory focus and business goals
Excellent analytical ability while consistently demonstrating strong attention to detail
Excellent interpersonal, communicative and persuasion skills
Strong organizational, planning and time management skills in order to multi task competing priorities in a fast paced and dynamic environment
Ability to follow specific directions and function independently or part of a team
Ability to work collaboratively with senior levels of management within the business, Legal, Risk, Compliance, Platform, Operations and Technology
Active FINRA & State Licenses: Series 7, 24 or 9/10 required
An undergraduate degree; MBA a strong plus
Microsoft and Adobe Suite

Function independently or manage a team of Risk Principals (RPs) who are responsible for performing product and know your client appropriateness reviews for all proposed annuity new business, carrier direct, replacement transactions, annuity withdrawals, and required documentation, Also, ensure compliance with AICRU review Service Level Agreements and provide guidance regarding complex transactions.
Conduct Quality Assurance Testing to monitor the RPs compliance with AICRU and regulatory standards pertaining to the supervisory approval of annuity transactions.
Meet with FAs, CROs, Branch managers, and internal wholesalers as necessary to resolve any conflicts and/or escalations.
Support the head of AICRU with carrier sales practice audits, regulatory audits, internal audits, and special projects as needed.
Provide vacation and/or illness coverage when necessary and conduct ‘know your client (KYC) appropriateness reviews of proposed annuity business, annuity withdrawals and required documentation.