Vice President, Suitability, Supervision & Agent Monitoring

Position Overview

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.

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, 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.

Leadership & Culture Expectations

As a senior leader, the Vice President sets and reinforces the tone for ethical conduct, accountability, and regulatory discipline. The role promotes a culture of professional judgment, independent challenge, and appropriate escalation, where issues are identified early and addressed thoughtfully. Decisions are expected to 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 (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

#LI-KS1

Various jurisdictions have passed pay transparency laws that require companies provide salary ranges for any positions for which they are accepting applications. Global Atlantic has offices in Atlanta, Batesville, Bermuda, Boston, Des Moines, Hartford, Indianapolis, and New York City. The base salary range posted below is inclusive of the lowest cost of living geography to the highest in which we have a Global Atlantic office. 

Global Atlantic’s base salary range is determined through an analysis of similar positions in the external labor market. Base pay is just one component of Global Atlantic’s total compensation package for employees and at times we hire outside the boundaries of the salary range. Other rewards may include 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), and sales incentives.  Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Compensation for our more senior positions have a larger component of short-term cash bonus and long-term incentives. 

The base salary range for this role is $150,000 — $170,000 USD