Global Atlantic · 6 hours ago
Vice President, Suitability, Supervision & Agent Monitoring
Hartford, CT
Full-time
Onsite
Mid, Senior Level
$150K/yr - $170K/yr
5+ years expGlobal Atlantic is a leading provider of retirement security and investment solutions. The Vice President, Suitability, Supervision & Agent Monitoring is responsible for the governance and enhancement of the company's suitability and agent oversight programs, ensuring compliance with state laws and promoting a culture of ethical conduct and consumer protection.
Financial ServicesInsuranceLife InsuranceRetirement
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, ensuring agent eligibility standards are met prior to and during sales activity
Establish clear supervisory expectations for rigor, consistency, timeliness, and documentation, ensuring decisions are transparent, 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 agent and broker-dealer escalations, remediation decisions, and risk mitigation strategies
Drive data-driven oversight through quantitative analysis, 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, implement regulatory and business changes, and ensure consistent application of supervisory standards across all channels
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 standards, and timely remediation of findings
Qualification
Required
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
Demonstrated experience managing teams and setting clear performance, accountability, and conduct 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
Preferred
Juris Doctor (JD) preferred
FINRA securities licensure preferred
Benefits
Annual cash bonuses
Long-term incentives (equity)
Generous benefits (including immediate vesting on employee contributions to a 401(k), as well as a company match on your contributions)
Sales incentives
Company
Global Atlantic
Global Atlantic is helping individuals and families think ahead for financial security.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$1.01B2020-07-08Acquired
2013-05-13Private Equity· $1.01B
2004-01-01Private Equity
Leadership Team
Allan Levine
Chairman and Chief Executive Officer
Timothy Bridgers
Managing Director of Preneed
Recent News
2026-01-18
Company data provided by crunchbase