Vice President, Suitability, Supervision & Agent Monitoring

Global Atlantic Financial Group • Hartford, CT

41d • $150,000 - $170,000 • Onsite

About The Position

Global Atlantic is a leading provider of retirement security and investment solutions with operations in the U.S., Bermuda, and Japan. As a wholly-owned subsidiary of KKR (NYSE: KKR), a leading global investment firm, Global Atlantic combines deep insurance expertise with KKR’s powerful investment capabilities to deliver long-term financial security for millions of individuals worldwide. With a broad suite of annuity, preneed life insurance, reinsurance, and investment solutions, Global Atlantic, through its issuing companies, helps people achieve their financial goals with confidence. For more information, please visit www.globalatlantic.com.
The Vice President, Suitability, Supervision & Agent Monitoring is accountable for the enterprise governance, execution, and continuous enhancement of Global Atlantic’s annuity suitability, agent supervision, and broker-dealer oversight programs. This role serves as a senior supervisory control owner and culture carrier, 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 company policy.
The 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.

Requirements

• Juris Doctor (JD) 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, 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

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.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Executive
• Number of Employees: 1,001-5,000 employees