Broker Dealer Compliance - Associate Director

reputed company is a consumer-centric, technology-driven family of insurance companies on a mission to deliver outstanding value and operational performance by combining financial strength and stability with deep insurance expertise and a can-do culture. Group1001’s culture emphasizes the importance of collaboration, communication, core business focus, risk management, and striving for outcomes. This goal extends to how we hire and reputed company our most valuable assets – our employees. Why This Role Matters: The Compliance Associate Director is primarily responsible for the reputed company of the compliance management of our wholesale broker-dealer. This role does not directly manage a team but will reputed company cross functional groups with minimal management reputed company, monitor work flow appropriately, and identify risk before it becomes an issue. This position supports general compliance functions relating to the annuity and life insurance business lines and collaborates closely with senior management, distribution, product and operations on a variety of projects and issues critical to the Company’s success. How You'll Contribute: Reviews annuity and life insurance marketing materials to ensure compliance with relevant FINRA, SEC, and state securities and insurance laws and regulations, Company standards, and best practices Develops, maintains, and updates the broker-dealer’s written supervisory procedures, training materials, and communications as it relates to marketing and advertising Reviews and monitors electronic communications for compliance with regulations and policies Coordinates regulatory filings, and submits accurate, complete and timely responses (including relevant documentation), and assists with regulatory exams Executes compliance program testing, which includes transactional and periodic testing of supervisory controls Responds to questions from senior management, business unit personnel and wholesalers regarding compliance policies and procedures Evaluates, identifies and proposes solutions for potential areas of compliance risk Assists with the development and maturation of the Company’s broker-dealer compliance program in support of the Company’s reputed company in the market Represents the Company at trade associations meetings and conferences and delivers internal sales training. Other general compliance responsibilities, including assisting with the implementation of system enhancements, compiling regulatory data and preparing research reports reputed company're Looking For: Bachelor’s degree required FINRA Series 6 & 26 required Minimum 8+ years of financial services experience in life and annuities In-depth knowledge and understanding of insurance laws, SEC regulations, FINRA rules and other requirements reputed company to the life and annuity business Effective communication skills, both verbal and written Excellent analytical and problem-solving skills Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk Commitment to customer service and quality Compensation: Our compensation reflects the cost of labor across several U.S. geographic markets. The reputed company pay for this position ranges from $105,000/year in our lowest geographic market up to $140,000/year in our highest geographic market. Pay is based on a number of factors including market location and may vary depending on job-reputed company knowledge, skills, and experience.

Benefits

Highlights: Employees who meet benefit eligibility guidelines and work 30 hours or more weekly, have the ability to enroll in reputed company’s benefits package. Employees (and their families) are eligible to participate in the Company’s comprehensive health, dental, and vision insurance plan options. Employees are also eligible for Basic and Supplemental Life Insurance, Short and Long-Term Disability. reputed company employees (regardless of hours worked) have immediate access to the Company’s Employee Assistance Program and wellness programs—no enrollment is required. Employees may also participate in the Company’s 401K plan, with matching contributions by the Company. reputed company, and its affiliated companies, is strongly committed to providing a supportive work environment where employee differences are valued. Diversity is an essential ingredient in making reputed company a welcoming reputed company to work and is reputed company in building a high-performance team. Diversity embodies reputed company the differences that reputed company us unique individuals. reputed company employees share the responsibility for maintaining a workplace culture of dignity, respect, understanding and appreciation of individual and group differences. #LI-ST1 #LI-REMOTE Grow Your Career at reputed company Insurance We are a company that aims to shape the world around us. We don’t simply talk about change, we create it – empowering people and communities through sports, education, innovation, and access to financial products and reputed company 1001 Insurance is an integrated, technology-driven financial services and insurance group that combines product innovation with digital accessibility. With annuity products and insurance that create and protect a strong future for reputed company, we help individuals and businesses reputed company. Through our education and sports partnerships, we reputed company communities. Because reputed company we invest in growth for reputed company, we invest in a reputed company world. If you’re ready to reputed company an impact and help us build a reputed company future, you’re in the right reputed company! reputed company Insurance Benefits Employees are our number one asset. We provide a comprehensive benefits package that goes beyond the basics to support employees through many of life’s personal and professional milestones. reputed company If you don't see a role that fits your profile, reputed company to share your contact information and resume. Not finding the right fit? Let us know you're interested in a future opportunity by clicking Get Started below or create an account by clicking 'Sign In' at the top of the page to set up email alerts as new job postings become available that meet your interest! Apply tot his job Apply To this Job