Reviews all annuities and life insurance for completeness and suitability. Evaluates sales for pertinent information collected from the sales rep. Question any inappropriate documents via email or telephone and documents each sale with resolution of findings. In addition to approving new brokerage accounts for completeness and suitability, approves daily mutual fund, annuities, life insurance, 529’s, bond, UIT, Structured notes and CD trades for suitability. Review FA , AFA, sales assistant and trade desk email to identify issues. Communicates new procedures to the field as needed. Train newly licensed employees in procedures and paperwork.
Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records.