Life Insurance & Compliance Operations Manager

Role - Life Insurance & Compliance Operations Manager

Location - Memphis Metropolitan Area

Work Type - Onsite/Full-time

• Is an established wealth advisory firm with offices in Los Angeles and Memphis, TN.
• We are comprised of 20 passionate and caring team members who collectively manage $1+ billion of client wealth.
• Affiliated with a CPA firm, we seek to deliver excellent advice, strategic portfolios, and white-glove service.

• Is seeking a highly organized and experienced professional to lead the firm's life insurance operations and compliance administration functions.

I. LIFE INSURANCE OPERATIONS

• Oversee the full life insurance lifecycle from application submission through underwriting, policy placement, and in-force servicing
• Coordinate underwriting requirements and proactively resolve outstanding items
• Maintain structured tracking systems for pending and in-force business
• Monitor premium payments, policy status, and lapse prevention
• Process policy changes, beneficiary updates, ownership transfers, and claims
• Prepare insurance analysis materials and illustrations for advisors
• Maintain firm and advisor licensing and carrier appointments

II. REGULATORY COMPLIANCE ADMINISTRATION

• Oversee quarterly compliance testing and document findings
• Maintain and update written supervisory procedures (WSPs)
• Ensure timely and accurate completion of filings, including Form ADV updates
• Track regulatory deadlines and coordinate responses for audits/examinations

III. OPERATIONAL SUPPORT

• Collaborate with advisors to prepare client reports and documentation
• Maintain high standards of data accuracy and record integrity
• Support operational efficiency initiatives and process improvement efforts

• Bachelor's degree in Business Administration, Finance, or related field preferred
• 3+ years of experience in life insurance operations, compliance, or financial services operations
• Familiarity with SEC and/or state regulatory compliance requirements
• Experience maintaining Form ADV and conducting compliance testing preferred
• Strong understanding of, of willingness to learn, life insurance products, policies, and procedures
• Excellent organizational and time management skills
• Proficiency in Microsoft Office Suite and experience with CRM systems
• Ability to work independently within an office environment while being a valuable team player

• If you're ready to make a difference by supporting clients' financial journeys and want to join a firm that values collaboration, integrity, and professional growth, apply now to be considered for this rewarding opportunity.
• Apply here.
• If we believe your resume and experience align with our expectations, we will reach out to you to complete our pre-hire assessment (attention to detail & behavioral assessment).
• If the assessment results align with our requirements and you seem to be a good fit for our team, we will reach out to schedule a brief initial interview over the phone.
• Upon management's approval, we will move forward with scheduling a 20-minute Zoom interview with our co-founder.
• You will attend in-person interviews in our offices to meet with our team members and founders for final interviews.