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Compliance Manager

1 month ago


Dallas, United States Welling Young, LLC Full time

Position Title: Compliance Team Lead

Reports to: VP of Compliance


Position Overview:


The ComplianceTeam Lead plays a crucial role in providing regulatory and compliance support for the Company’s Complianceand Licensing team. This position involves conducting compliance research, developing and managing compliance projects, and overseeing staff to ensure adherence to regulatory standards.


Responsibilities:


• Coordinate the Regulatory research and interpretation process conducted by the compliance and licensing team.

• Assist in the management of the performanceand development of team members.

• Independent Research and provide input on Compliance guidance and queries.

• Assist with the internal audit function.

• Assist with developing, implementing and maintaining compliance related policies, templates, trainingmaterial and monitoring frameworks.

• Training and development- new hire and ongoing training programs

• Perform other duties as assigned.


Required Skills and Abilities:


• In depth understanding of Insurance regulations and compliancerequirements

• Ability to conduct and interpret reg