State Licensed Compliance Director

Job is Expired

Location: Remote

Compensation: To Be Discussed

Reviewed: Thu, May 01, 2025

Job Category: Healthcare

Weekly Hours: Full Time

Employer Type: Employer

Career Level: Experienced, Senior Level

Education Level: Bachelors

Job Summary

A company is looking for an Associate Director, Compliance.

Key Responsibilities

Review annuity and life insurance marketing materials for compliance with relevant regulations
Develop and maintain written supervisory procedures and training materials for the broker-dealer
Coordinate regulatory filings and assist with compliance program testing and regulatory exams

Required Qualifications

Bachelor's degree
FINRA Series 6 & 26 required
Minimum 8+ years of financial services experience
In-depth knowledge of insurance laws and SEC regulations related to life and annuity business

COMPLETE JOB DESCRIPTION

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Job is Expired

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