Compliance Manager, Retail Distribution

Overview:

The Retail Distribution Compliance Manager is a key contributor within the organization, serving as an advisor to business leaders and key partners. This role is accountable for translating business strategy into technology-enabled solutions, driving alignment across stakeholders, and ensuring delivery of initiatives that generate measurable business value. This role serves as a regulatory compliance professional with responsibility for performing compliance and suitability analysis and providing regulatory guidance for fixed annuities, fixed indexed annuities, and other insurance-related investment products. The position also supports the review and oversight of related marketing, advertising, and sales activities to ensure compliance with applicable laws, regulations, and company policies.

The selected candidate will work independently supporting cross-functional efforts to influence decision-making and ensure adherence to enterprise standards. The selected candidate will be based in either our Hartford, CT or Charlotte, NC office and will follow a hybrid work schedule. Remote work arrangements may be considered for an exceptional candidate.

Responsibilities:

Apply a broad range of theories and principles in the planning, organization and integration of Compliance and Suitability work
Lead project initiatives that span significant portion of business and assess recommendations for review by senior management
Takes the lead to identify, assess and develop compliance recommendations for issues
Provides compliance advice and counsel as needed
Support compliance processes, programs or initiatives ad hoc

Qualifications:

Minimum of 4 years of compliance experience
Bachelor’s Degree in business or equivalent work experience
Solid understanding of business operations and of the related legislative, regulatory, and in-house company policy requirements associated with them
Demonstrated strategic thinking and problem-solving skills
Strong knowledge of NAIC Model Regulations and other applicable federal and state insurance regulations
Excellent verbal and written communication
Strong proficiency with MS Office tools for analysis and reporting
Experience with stakeholder management in a matrixed business environment
Ability to translate business needs into technical requirements
Analytical mindset with attention to detail
Ability to effectively collaborate and build productive cross-functional partnerships
Sound ethical and legal judgment with the capacity to effectively negotiate with business partners
Ability to work independently and/or collaborate with cross-functional team members
Demonstrated business savvy with a strategic focus for problem solving
Effective communicator with outstanding interpersonal and organizational skills
Ability to establish and maintain productive business relationships across the organization
A self-starter with strong organizational and project management skills
Ability to handle a high volume of matters while balancing competing demands
Willingness to take initiative, lead projects and drive projects to through to completion