Vice President of Compliance - Confidential : Job Details

Vice President of Compliance

About the Company

Join a leading insurance company that has been making a difference since 1959.

Industry Insurance

Type Subsidiary of a Public Company

Founded 1959

Employees 1001-5000

Categories

• Financial Services
• Insurance

Specialties

• Life Insurance
• Annuities
• Retirement Planning
• Wealth Transfer

About the Role

We are seeking a Vice President of Compliance to play a pivotal role in ensuring our regulatory compliance and fostering a culture of ethical conduct. In this key leadership position, you will oversee compliance activities related to our annuity and life insurance products, ensuring they meet state regulations and internal policies.

The ideal candidate will possess extensive expertise in regulatory requirements for the distribution of financial products. You will provide necessary guidance to our sales, marketing, and product development teams to ensure alignment with insurance regulations, including best interest obligations. You will also be responsible for monitoring regulatory changes, collaborating with product development teams to identify compliance risks, and managing the compliance function of our broker-dealer.

We are looking for candidates with a Bachelor's degree in law, finance, business, or a related field. A JD or advanced degree is preferred. You should have at least 15 years of experience in the insurance industry, specifically focusing on life insurance and annuity products. Advanced knowledge of federal and state insurance laws, FINRA rules, SEC regulations, and compliance standards is essential.

Successful candidates will demonstrate strong leadership skills, a proven track record in team management, and effective strategic planning capabilities. Excellent communication skills are a must. Your responsibilities will encompass developing and overseeing compliance monitoring programs, preparing reports on compliance performance, and coordinating both internal and external audits.

You will also lead a team of compliance professionals, cultivating a collaborative approach to risk management, and ensuring that our company's compliance policies and procedures are clear and proficient.

Hiring Manager Title Chief Compliance Officer

Travel Percent 10%

Functions

• Finance
• Operations