Insurance Services Principal Job at Hilltop Securities
Job Summary:
We're currently looking to hire an Insurance Services Principal in our Dallas, Texas office. This position is responsible for the day to day suitability review of new Insurance and annuity business from of our different network of advisors. Hilltop Securities Insurance Agency, Inc, a wholly owned subsidiary of Hilltop Securities Inc., provides annuities, life insurance, long-term care, and disability income insurance products for distribution through Hilltop Securities’ Private Client Group and Momentum Independent Network.
Essential Functions:
- Conduct Compliance/Suitability Review for New Business (Principal)
- Train Advisors/Sales Assistants on Suitability Forms and Firelight (online order entry platform)
- Develop and maintain relationships with branch managers, advisors, and sales assistants
- Keep current on Regulatory and Industry Issues and how they impact operations
- Respond to audits (internal, FINRA, SOX, SEC)
- Minimum 5 years financial services experience with at least 2 years of supervisory/compliance experience
- Bachelor’s degree
- Group 1 and Variable Contracts licenses, as well as Series 6 or 7, and 26 or 24
- Must obtain Series 65 or 66 within 6 months after start date
- Strong knowledge of financial services industry and products & services.
- Knowledge of Broker/Dealer regulatory issues.
- Knowledge of financial services industry.
- Knowledge of compliance policies and procedures.
- Aptitude for analysis, investigation & problem solving.
- Demonstrated ability to cope with change and ability to manage multiple priorities.
- Strong oral/written communication skills, demonstrated organization skills, demonstrated conflict management skills, demonstrated leadership skills and the ability to influence behavior.
- Self-motivated with the ability to achieve results in an independent environment, aptitude & comfort with technology, training & delivery skills.
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success.
As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.
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