Broker Dealer Compliance Analyst

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Aspida is a tech-driven, nimble insurance carrier. Backed by Ares Management Corporation, a leading global alternative asset manager, we offer simple and secure retirement solutions and annuity products with speed and precision. More than that, we’re in the business of protecting dreams; those of our partners, our producers, and especially our clients. Our suite of products, available through our elegant and intuitive digital platform, focuses on secure, stable retirement solutions with attractive features and downside protection.

A subsidiary of Ares Management Corporation (NYSE: ARES) acts as the dedicated investment manager, capital solutions and corporate development partner to Aspida. For more information, please visit  or follow them on Linked In
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Sometimes, a group of people come together and create something amazing. They don’t let egos get in the way. They don’t settle for the status quo, and they don’t complain when things get tough. Instead, they see a common vision for the future and each person makes an unspoken commitment to building that future together. That’s the culture, the moxie, and the story of Aspida.

Our business focuses on annuities and life insurance. At first, it might not sound flashy, but that’s why we’re doing things differently than everyone else in our industry. We’re dedicated to developing data-driven tech solutions, providing amazing customer experiences, and applying an entrepreneurial spirit to everything we do. Our work ethic is built on three main tenets:
Get $#!+ Done, Do It with Moxie, and Have Fun. If this sounds like the place for you, read on, and then apply at

• Act as a Subject Matter Expert (SME) in compliance matters involving variable product & marketing content requirements with FINRA and state insurance departments.
• Lead conversations regarding compliance issues and proactively identify potential risks or areas for improvement.
• Monitor FINRA company governance requirements and inform senior management of changes to the company governance documents as the need arises.
• Work with business partners to solve complex compliance related questions and/or problems.
• Assist in the development of Compliance training programs for the organization.
• Collaborate with other team members to develop or enhance policies and procedures to capture workflow efficiencies.
• Monitor developments in the areas of AML, Fraud and consumer Complaints.
• Assist with the preparation of more complex non-financial regulatory filings in a timely manner; accurately review and prepare FINRA required filings, state regulatory reports and other regulatory filings.
• Respond to inquiries from regulatory authorities, data calls and complaints.
• Participate in internal audits, compliance reviews, and other activities to evaluate the effectiveness of organizational compliance controls.
• Draft and update compliance policies, procedures, and reporting mechanisms to ensure ongoing compliance with legal and regulatory requirements for all jurisdictions in which the company operates.

• Full-Time
• Full Benefits Package Available

Not sure if you meet every qualification? We still encourage you to apply! We value inclusivity, welcoming candidates from diverse backgrounds, including non-traditional paths. Unique experiences enrich our team, and the willingness to dream big makes you an exceptional candidate!

At Aspida Financial Services, LLC, we are committed to creating a diverse and inclusive environment and are proud to be an equal opportunity employer. As such, Aspida does not and will not discriminate in employment and personnel practices on the basis of race, sex, age, handicap, religion, national origin or any other basis prohibited by applicable law. Hiring, transferring and promotion practices are performed without regard to the above listed items.

• Bachelor’s Degree in Business, Risk Management or Insurance; or equivalent combination of education, training & experience.
• 5 or more years of experience in a Compliance function in financial services or…