Accounting, Auditing: Manager, Regulatory Supervision - Minneapolis, Minnesota - (Minneapolis, MN)

- Job overview - Manager, Regulatory Supervision (ANN000MU) Job summary - Manager, Regulatory Supervision-ANN000MU Description - The Annuities Suitability Review Team will focus on adherence to suitability obligations through partnership with Compliance, Legal, and Risk. The Team will review the suitability of transactions in accordance with the company's suitability review process, and determine whether there is a reasonable basis for believing that the producer's recommendation to purchase, sell, or exchange a product is suitable for the customer based on the info provided by the customer as to his or her other security holdings and financial situation an ... (01/12/2018)