Associate Director, Compliance - Remote

Overview

The Associate Director, Compliance is primarily responsible for assisting with the compliance management and oversight of our wholesale broker-dealer, ensuring adherence to relevant regulations and supporting the company’s operations in the insurance sector.

In Short

• Oversee compliance management for a wholesale broker-dealer.
• Review insurance marketing materials for compliance.
• Develop and maintain compliance documentation.
• Coordinate regulatory filings and responses.
• Execute compliance program testing.
• Evaluate compliance risks and propose solutions.
• Assist in developing the broker-dealer compliance program.
• Represent the company at industry meetings.
• Communicate effectively with senior management and business units.
• Support general compliance responsibilities.

Requirements

• Bachelor’s degree required.
• FINRA Series 6 & 26 required.
• Minimum 8+ years of financial services experience.
• In-depth knowledge of insurance laws and regulations.
• Strong analytical and problem-solving skills.
• Effective verbal and written communication skills.
• Ability to assess compliance and business risks.
• Commitment to customer service and quality.

Benefits

• Comprehensive health, dental, and vision insurance.
• Life insurance and disability benefits.
• 401K plan with company matching.
• Generous paid time off and holidays.
• Remote work opportunities available.
• Supportive work environment emphasizing diversity.
• Employee Assistance Program and wellness initiatives.
• Paid volunteer reward program.