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Senior Sales Supervision Principal

Full Time
Compliance
United States

Breadcrumb

  1. Vacancies
Conduct suitability review of fixed and life insurance business for World Financial Group Insurance Agency, Inc. and provide compliance oversight of insurance agents.

Responsibilities

  • Conduct and oversee account reviews for client’s best interest.
  • Perform Principal guidance and training and provide supervisory feedback.
  • Make decisions for acceptance or denial of new and inforce fixed and life business.
  • Work with agents to reduce overall risk through ongoing performance monitoring, training, and guidance.
  • Provide compliance training and guidance.
  • Review fixed and life insurance business for adherence to business line processes and controls.
  • Review audit reports for quality and adherence of business guidelines.
  • Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
  • Assist in the management and maintenance of suitability files for the insurance agency.
  • Handle calls and inquires to ensure inquiries are resolved satisfactorily, also to include incoming calls.
  • Assist with training, licensing and registration as needed.
  • Assist with the preparation for regulatory audits.
  • Perform additional supervisory and compliance functions as needed.

 

Qualifications

  • Bachelor’s degree a business field, or equivalent work experience.
  • Five years of suitability/best interest review experience, life insurance sales supervision, or similar work
  • Life license
  • In-depth knowledge of fixed, fixed indexed and life insurance products, NAIC best interest guidelines, and state regulations
  • Ability to analyze complex issues and recommend solutions
  • Strong written and verbal communication skills
  • Organizational skills and the ability to prioritize multiple priorities
  • Attention to detail
  • Proficiency using MS Office (Word, Excel)

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to the Colorado Equal Pay for Equal Work Act and Equal Pay Transparency Rules and other compensation posting laws.  It is estimated based on what a successful candidate might be paid in certain Company locations.**

 

Compensation:

The Salary for this position generally ranges between $56,000- $70,000 annually.  This range is an estimate, based on potential qualifications and operational needs. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2 and other applicable local regulations.

 

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion.

#LI-remote #IND123

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