Senior Compliance Consultant
4 weeks ago
Group 1001 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 onboard our most valuable assets - our employees.
Group 1001, 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 Group 1001 a welcoming place to work and is fundamental in building a high-performance team. Diversity embodies all the differences that make us unique individuals. All employees share the responsibility for maintaining a workplace culture of dignity, respect, understanding and appreciation of individual and group differences.
Summary:
The Senior Compliance Consultant will be primarily responsible for assisting with the compliance management and oversight of our wholesale broker-dealer, Clarendon Insurance Agency, Inc. Additional responsibilities will include supporting general compliance functions relating to the annuity and life insurance business lines. This role will interact with senior management, distribution, product and operations on a variety of projects and issues critical to the Company's success.
Main Accountabilities
* Process state registrations and insurance licenses and track continuing education requirements
* Facilitate courses and exams for securities registrations and insurance licensure
* Coordinate reporting for licensing activity
* Track & Monitor Annual, Quarterly and Monthly Firm Element and Compliance Requirements
* Manage compliance email box and respond to questions appropriately
* Aggregate data for monthly, quarterly supervisory reports
* Prepare 407 Letters in response to employee requests when opening accounts at another financial institution
* Review and log gifts, entertainment and non-cash compensation activity and publish periodic reports
* Conduct review of annuity and life insurance marketing materials, including social media posts, blogs, videos and podcasts, and review and monitor electronic communications for compliance with regulations and policies
* Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
* Respond to questions from business unit personnel and wholesalers regarding compliance policies and procedures
* Assist with ad hoc projects and various initiatives
Qualifications
* Bachelor's degree
* FINRA Series 6 & 26 preferred - required within 6 months of hire
* Minimum 3+ years of financial services experience
* Knowledge and understanding of insurance laws, SEC regulations, FINRA rules and other requirements related to the life and annuity business
* Sound judgment and ability to analyze complex situations
* Strong work ethic, team player
* High degree of professional ethics and integrity
* Excellent organizational skills and attention to detail
* Effective communication skills, both verbal and written
* Commitment to customer service and quality
Benefits Highlights:
Employees who meet benefit eligibility guidelines and work 30 hours or more weekly, have the ability to enroll in Group 1001'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, and to enroll in the Company's Employee Assistance Program and other wellness initiatives. Employees may also participate in the Company's 401K plan, with matching contributions by the Company.
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