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

Position: Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
Location: Destrehan

# Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
Denver, COFull-Time# Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
Denver, COFull-Time Jan 27, 2026

Accounting
* 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 response 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 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.
* The Salary for this position generally ranges between $100,000 - $110,000 annually.
*** Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including
*** qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
* Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
* Pension Plan
* 401k Match
* Employee Stock Purchase Plan
* Tuition Reimbursement
* Disability Insurance
* Medical Insurance
* Dental Insurance
* Vision Insurance
* Employee Discounts
* Career Training & Development Opportunities
* 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 response 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 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…