Software Guidance & Assistance, Inc., (SGA), is searching for an Vice President, Annuity Sales Practices & Supervision for 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 275 (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
5+ 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
SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .
SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
- Dice Id: sgainc
- Position Id: 26-00305
- Posted 5 hours ago
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