Manager, Compliance Suitability at Athene, West Des Moines, IA
Manager, Compliance Suitability at Athene in West Des Moines, IA. Full-time. Apply with swipeandhired.
We are driven to do more. More for our customers and the financial professionals who offer our products. If you are driven to do more and love the challenge of pursuing more, Athene is your kind of company. You will find we offer more than the basics to create an inclusive and dynamic work environment at our various locations.
Purpose & Impact:
Lead Athene’s Compliance Suitability Team (CST), overseeing daily operations and supporting an effective annuity suitability and best interest oversight program. Manage compliance professionals responsible for escalated application reviews, reconsideration requests, and quality assurance. Apply Athene’s Standard of Care Guidelines and applicable state requirements to ensure decisions align with consumers’ financial circumstances, insurance needs, and financial objectives.
Key Deliverables:
- Lead, coach, and develop the Compliance Suitability Team, managing daily workloads, performance, and turnaround times to ensure timely, consistent reviews.
- Oversee and perform reviews of escalated annuity applications and producer reconsideration requests, evaluating consumer financial information and approving or declining cases within delegated authority.
- Ensure decisions align with Athene’s Standard of Care Guidelines and applicable suitability and best interest requirements, with clear documentation and appropriate escalation of significant risks.
- Oversee quality reviews, analyze case trends, and implement coaching, corrective actions, and improvements to guidelines, workflows, forms, and system controls.
- Maintain suitability procedures and partner with Compliance, Legal, and business teams to implement regulatory changes through updated processes, training, and controls.
- Support annual suitability reviews and reporting, distribution partner compliance reviews, audits, and regulatory examinations; document findings and monitor remediation.
- Prepare management reporting and serve as a suitability resource for internal teams and distribution partners, partnering with Sales and Marketing to deliver education, training, and guidance.
What You Need to Bring:
- 5+ years of relevant professional experience in insurance compliance, annuity suitability, or insurance operations, including reviewing complex annuity cases, preferred.
- 2+ years of supervisory, team lead, or comparable experience coaching staff and managing work quality.
- Strong knowledge of annuity products, the NAIC Suitability in Annuity Transactions Model Regulation, and applicable state suitability and best interest requirements.
- Strong analytical skills and sound judgment, with the ability to evaluate complex consumer financial information, manage competing priorities, and maintain accurate, confidential records.
- Strong written and verbal communication skills, including explaining decisions, delivering training, and partnering with management and distribution teams; proficiency with Microsoft Office, case management systems, and reporting tools.
- LOMA coursework or relevant professional designations preferred; insurance or securities licenses are a plus.
- Bachelor’s degree or an equivalent combination of education and relevant experience.
Drive. Discipline. Confidence. Focus. Commitment. Learn more about working at Athene.
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Athene is committed to inclusion and is proud to be an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, veteran status or any other status protected by federal, state or local law.