Trade Review Supervisor- Annuity

The Trade Review Supervisor ensures conformance to Stifel Policy and Procedures through activities such as, but not limited to, reviewing suitability and best interests of all Annuity transaction types, working closely with Financial Advisors and Branch Managers to correct trade details/descriptions for transactions that likely conform to firm policies and procedures, but do not appear that way based on initial trade details.

Executes authority to cancel transactions until an order is deemed compliant. Assists in training Trade Review Analysts, Associates, and Sr. Analysts, and serves as a liaison with branches, Compliance, Marketing, Operations, and the Trade Review team. The Analyst supports the Manager in all aspects of their role, including escalated decision-making regarding individual transactions and supervision functions.

• Review and approve insurance transactions by comparing clients' existing portfolios and financial objectives with product knowledge.
• Review and approve trade documentation for completeness and accuracy against product specifications.
• Serve as an authorized reviewer in the absence of the Trade Review Manager to address and resolve special situations or issues.
• Train and mentor new Trade Review Analysts and Sr. Analysts on trade review functions, policies, procedures, and regulations.
• Collaborate with the Insurance Compliance Officer on trade review processes and transactions.
• Coordinate with Licensing/Registration and Insurance Operations Departments daily.
• Manage objections for delayed or canceled transactions, explaining situations to management.
• Provide expertise to FAs and Sales Assistants on paperwork, submission, and uploading requests to the Insurance Database.
• Ensure data validation in transactions for completeness and consistency.

• Expertise in Fixed, Fixed Indexed, Buffered, Immediate, and Variable annuities, with current product knowledge.
• Expertise in brokerage products, including life insurance, mutual funds, UITs, ETFs, and managed funds.
• Proficiency with multi-branch brokerage retail systems.
• Strong knowledge of laws, tax codes, regulations, and compliance issues related to insurance products.
• Understanding of tax implications of insurance products and current tax codes.
• Expertise in FINRA regulations, sales practices, and investment company issues.
• Knowledge of state insurance regulations and ability to stay updated on rule changes.
• Understanding of retirement plan rules and related tax implications.
• Willingness to travel via car and/or air for local, regional, or national engagements.

• Bachelor's degree in Finance or related field.
• At least 5 years of experience in the financial industry.

• Series 7, 9, 10, 63, 24, and Resident State Insurance License (Life and Health).

• Proficiency in Microsoft Excel, Word, PowerPoint, Outlook.

Stifel, over 130 years old, is a global wealth management and investment banking firm committed to innovation. Headquartered in St. Louis with offices worldwide, including New York, San Francisco, Baltimore, London, Frankfurt, and Toronto, among others, employing around 9,000 professionals. We foster an entrepreneurial environment with comprehensive benefits, including health, dental, vision, 401k, wellness, life insurance, and paid time off. Stifel is an Equal Opportunity Employer.