Deputy Chief Compliance Officer, Vice President

Deputy Chief Compliance Officer, Vice President About the Company Leading insurance company IndustryInsurance TypeSubsidiary of a Public Company Founded1959 Employees1001-5000 Categories Financial ServicesInsurance Specialties life insuranceannuitiesretirement planningand wealth transfer About the Role The Company is seeking a Deputy Chief Compliance Officer (DCCO) to join their team. The DCCO will be a key leader in ensuring regulatory compliance and promoting a culture of ethical conduct. This role involves overseeing compliance activities related to the company's annuity and life insurance products, ensuring alignment with state regulations and internal policies. The successful candidate will be a subject matter expert in regulatory requirements for the distribution of these financial products, providing guidance to sales, marketing, and product development teams to ensure compliance with insurance regulations, including best interest obligations. The DCCO will also be responsible for monitoring and implementing changes in regulatory requirements, collaborating with product development teams to assess compliance risks, and managing the compliance function of the company's broker-dealer. Candidates for the DCCO position should have a Bachelor's degree in law, finance, business, or a related field, with a JD or advanced degree preferred. A minimum of 15 years' experience in the insurance industry, with a focus on life insurance and annuity products, is required. The role demands a leader with advanced knowledge of federal and state insurance laws, FINRA rules, SEC regulations, and other compliance standards. The ideal candidate will have a proven track record in team management, strategic planning, and excellent communication skills. Responsibilities also include developing and overseeing compliance monitoring programs, preparing reports on compliance performance, and coordinating internal and external audits. The DCCO will be expected to manage a team of compliance professionals, foster a collaborative approach to risk management, and ensure the company's compliance policies and procedures are clear and consistent. Hiring Manager TitleChief Compliance Officer Travel Percent10% Functions FinanceOperations

Created: 2025-01-30