Work Preference
Summary
Overview
Work History
Education
Skills
Websites
Certification
Timeline
Generic
Open To Work

Jennith Hassenfritz

MT PLEASANT,Iowa

Work Preference

Job Search Status

Open to work
Desired start date: Immediately

Desired Job Title

Home Office Supervisory Principal/Complex Products (Temp)Complex Product Supervisory Principal (Annuities)Associate Regional DirectorSupervisory Principal/Compliance Analyst

Work Type

Full Time

Location Preference

RemoteOn-Site
Location: MT PLEASANT, IowaMount Pleasant, IA
Open to relocation: No

Salary Range

$65000/yr - $150000/yr

Important To Me

Work-life balanceHealthcare benefitsPaid time offPersonal development programsPaid sick leaveCompany CultureWork from home optionFlexible work hours

Summary

Compliance professional with extensive experience in regulatory adherence and detail-oriented analysis. Expertise in navigating Best Interest Standards and complex product regulations, ensuring accurate documentation of account transactions. Strong communicator with a proven track record in building relationships and fostering collaborative solutions.

Overview

15
15
years of professional experience
5
5
Certification

Work History

Home Office Supervisory Principal/Complex Products (Temp)

Atria Wealth Solutions
MT PLEASANT, Iowa
01.2025 - 08.2025
  • Successfully obtained, reviewed and documented 4 years of manually entered account transactions to get the firm back in compliance
  • Reviewed new account paperwork, Best Interest standards, suitability and other compliance required forms and documentation for brokerage, direct and advisory business
  • Reviewed securities transactions in Protegent and worked with advisors to address any compliance concerns or violations

Complex Product Supervisory Principal (Annuities)

LPL Financial
MT PLEASANT, Iowa
05.2022 - 12.2024
  • Reviewed variable, registered indexed – linked, fixed indexed and fixed annuities for suitability and documentation of Best Interest standards as well as annuity liquidations, free looks, and other transactional activity
  • Acted as key contact and subject matter expert providing education and guidance relating to annuities and communicating new policies, procedures and regulatory topics of focus
  • Collaborated with other departments to identify potential red flags in the sale and business practice patterns of annuities

Associate Regional Director

Cambridge Investment Research
Fairfield, Iowa
07.2010 - 04.2022
  • Acted as (OSJ) Designee by reviewing hard copy and email correspondence, OBA’s, Private Securities Transactions, FINRA/Insurance licensing and escalated trades for all product types including annuities and other complex products
  • Supervised and monitored Special Supervision Plans, patterns in sales, business practices and other reporting to promote supervisory compliance.
  • Supported the Regional director in the supervisory visit process including gathering of pertinent information for visits and completing follow-up items
  • Supported the RD in the recruiting phase and FP approval process including analysis of complex business models, U-4 issues and special exceptions
  • Maintained familiarity with key industry topics, firm policies, departmental procedures and internal programs and resources available through the company

Education

Bachelor of Arts - Accounting

Iowa Wesleyan College
Mount Pleasant, IA
01.2010

Skills

  • Communication
  • Teamwork
  • Independent work
  • Critical thinking
  • Decision making
  • Detail-oriented

Websites

Certification

  • Series 7
  • Series 24
  • Series 53
  • Series 66
  • Series 3

Timeline

Home Office Supervisory Principal/Complex Products (Temp)

Atria Wealth Solutions
01.2025 - 08.2025

Complex Product Supervisory Principal (Annuities)

LPL Financial
05.2022 - 12.2024

Associate Regional Director

Cambridge Investment Research
07.2010 - 04.2022

Bachelor of Arts - Accounting

Iowa Wesleyan College

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