Broker Dealer Compliance

2 days ago

Waltham, Massachusetts, United States Group 1001 Full time $105,000 - $140,000

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.

Why This Role Matters:

The Compliance Associate Director is primarily responsible for the oversight of the compliance management of our wholesale broker-dealer. This role does not directly manage a team but will lead cross functional groups with minimal management intervention, 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 presence 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

What We'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 related 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 base 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-related 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 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. All 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.

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.

#LI-ST1 #LI-REMOTE

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