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Director, Compliance
4 months ago
The Director, Compliance reports to the Deputy Chief Compliance Officer. The responsibilities of this role include leading and developing a team managing and performing branch office examinations, managing the Firm's trade surveillance for both broker-dealer and investment adviser activities, oversee the Firm's compliance communications, develop and conduct field training, assist with the Firm's internal controls testing under FINRA Rule 3120 and SEC Rule 206(4)-7 and other projects, as necessary.
This position requires approximately 20-25% travel. The incumbent may also assist with the development and conduct of other Firm-wide training, as necessary.
Essential Duties and Responsibilities
* Support the Firm's Broker-Dealer and Registered Investment Adviser activities.
* Manage and oversee the examination process for the Firm's Offices of Supervisory Jurisdiction (OSJ) and detached branches to ensure compliance with regulatory requirements.
* Provide guidance and leadership to the Firm's branch examiners.
* Conduct on-site examinations, as needed.
* Provide guidance and training to field branch managers and staff on regulatory requirements and best practices.
* Develop and implement examination procedures and protocols.
* Coordinate and schedule examinations with branch managers and regulatory agencies.
* Review, track, and ensure completion of branch office inspections conducted by OSJ supervisors.
* Review and analyze examination findings and prepare detailed reports for management and regulatory agencies.
* Manage and oversee the Firm's trade surveillance function.
* Provide guidance and leadership to the trade surveillance team.
* Ensure the team proactively identifies compliance concerns and raises issues to the appropriate level(s) for resolution.
* Identify and investigate areas of non-compliance and recommend corrective actions and solutions.
* Ensure the Firm's surveillance reports remain current and relevant.
* Stay updated on changes to securities laws, regulations, and industry trends.
* Demonstrate effective professional writing skills and develop communications that relay Firm policies, regulatory changes/updates, and reminders of Firm policy.
* Other duties, as assigned.
Experience Requirements:
7 years of general Securities Compliance Required, 10+ Preferred
5 years of Compliance Auditing
Education Requirements:
Bachelor's Degree required.
Certification & Licensure Requirements:
FINRA Series 7 and 24
Additional Requirements:
Additional securities registrations, including Municipal Securities Series 51 or 53, and Investment Adviser Representative registration are beneficial. State insurance license and insurance industry certifications are also a plus (e.g. CFE, CRCP, IACCP).
The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees. Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment. National Life is accepting applications for this role on an ongoing basis and the role remains open until filled. National Life Group is a trade name of National Life Insurance Company, Montpelier, VT - founded in 1848, Life Insurance Company of the Southwest, Addison, TX - chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group. Fortune 1000 status is based on the consolidated financial results of all National Life Group companies. National Life Group 1 National Life Dr Montpelier, VT 05604
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