Thursday, September 11, 2014
Annuity Suitability Review Director
Compliance Search - Dallas
Our client is a top financial services firm and they are seeking an
individual who will be mainly responsible for reviewing the suitability of
fixed annuity products and assist in the management of the annuity
suitability review area.
The person would be involved with day to day reviewing, having phone calls
with agents, oversee the suitability process, make revisions on forms, do
board reports for audit, email monitoring and handling customer complaints.
The firm needs someone with knowledge of 403(b) and 457 and 401k's.
They would like the individual to have worked at a financial services firm
either a broker dealer, investment firm or insurance firm. They would
prefer someone who has strong Excel or Microsoft Office Suite but it's not
required. The individual should have securities experience and they must
either have the Series 7 and 24 or Series 6 and 26 or they must take it
within six months of getting the role and passing it.
What is great about this role is that once the person is in this position
the firm will do cross training so they will teach them regulatory reviews,
AML, monitoring, customer compliant reviews and so forth. This position has
a great opportunity for growth and expanding the skill set.
The firm would offer relocation for this role for the right candidate.
If you have interest and would like to learn more please feel free to get
in touch with me Johanna Rodriguez-
with your resume and I would be happy to follow up.