Compliance Manager - Agent Regulatory Compliance​/Agent Misconduct; Hybrid

About the Role Direct the day to day operations of the compliance department. Analyze and resolve problems regarding state insurance departments complaints, changes in laws and regulations, investigations (AML, fraud, market conduct) or filings/correspondence with state insurance departments.

• Develop and execute oversight programs for agents, agencies and broker dealers selling insurance and annuity products.
• Monitor agent, agency, and broker dealer activities for compliance with state, federal, and company regulations.
• Review sales practices, suitability, and documentation to ensure adherence to standards.
• Analyze trends and patterns in agents performance and compliance issues to recommend training and process improvements.
• Lead a team responsible for insurance and annuity agent monitoring, support and compliance.
• Identify and assess potential compliance risks related to agent behavior and sales practices.
• Direct and assign projects to technical and administrative staff.
• Review projects for completeness and overall performance of compliance department staff.
• Determine impact on administrative and marketing functions in regard to legislation changes.
• Assist in the development of new marketing materials and concepts.
• Create responses to complex complaints.
• Oversee complex investigations.
• Initiate projects to improve the efficiency of the compliance department.
• Develop analytical abilities of technical staff to enable them to achieve a degree of expertise.
• Establish departmental policies and procedures.
• Prepare reports on operation of department.
• Represent the company at various industry related meetings.
• Assist in evaluating overall Compliance Risk factors.
• Assist the legal department with state insurance department audits, corporate audits, and internal audits.
• Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.

• Bachelor’s degree in business, marketing, political science, pre-law, paralegal or other relevant area.
• Minimum of 5 years insurance or securities experience.
• Strong knowledge of insurance and annuity products and regulatory requirements (FINRA, NAIC, state insurance laws, etc.) regarding financial crimes and insurance compliance.

• At least 1 year supervisory experience preferred.
• Excellent written and verbal communication skills.
• Advanced analytical, interpretive, organizational and negotiations skills.
• Understanding of contract law and company operations.

• Hybrid office environment (3 days per week):
  Baltimore/Cedar Rapids/Denver/Philadelphia

• The salary for this position generally ranges between $100,000 - $110,000 annually. Salary may vary based on qualifications, experience, geography, work location, and operational needs. The position is typically eligible for an annual bonus at the Company’s discretion.
• Benefits include compensation benefits, pension plan, 401k match, employee stock purchase plan, tuition reimbursement, disability, medical, dental, vision, employee discounts, and career training & development opportunities.

This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. If an accommodation is required to perform job functions, contact the HR Business Partner.