Broker Dealer Compliance - Associate Director

Broker Dealer Compliance - Associate Director

Join to apply for the Broker Dealer Compliance - Associate Director role at Group 1001

Group 1001 is a consumer‑centric, technology‑driven family of insurance companies on a mission to deliver outstanding value and operational performance by combining financial strength and stability with deep insurance expertise and a can‑do culture. Group
1001’s culture emphasizes the importance of collaboration, communication, core business focus, risk management, and striving for outcomes. This goal extends to how we hire and onboard our most valuable assets – our employees.

The Compliance Associate Director is primarily responsible for the oversight of the compliance management of our wholesale broker‑dealer. This role does not directly manage a team but will lead cross‑functional groups with minimal management intervention, monitor workflow appropriately, and identify risk before it becomes an issue. This position supports general compliance functions relating to the annuity and life insurance business lines and collaborates closely with senior management, distribution, product and operations on a variety of projects and issues critical to the Company’s success.

• Reviews annuity and life insurance marketing materials to ensure compliance with relevant FINRA, SEC, and state securities and insurance laws and regulations, Company standards, and best practices.
• Develops, maintains, and updates the broker‑dealer’s written supervisory procedures, training materials, and communications as it relates to marketing and advertising.
• Reviews and monitors electronic communications for compliance with regulations and policies.
• Coordinates regulatory filings, submits accurate, complete, and timely responses (including relevant documentation), and assists with regulatory exams.
• Executes compliance program testing, which includes transactional and periodic testing of supervisory controls.
• Responds to questions from senior management, business unit personnel, and wholesalers regarding compliance policies and procedures.
• Evaluates, identifies, and proposes solutions for potential areas of compliance risk.
• Assists with the development and maturation of the Company’s broker‑dealer compliance program in support of the Company’s presence in the market.
• Represents the Company at trade association meetings and conferences and delivers internal sales training.
• Other general compliance responsibilities, including assisting with the implementation of system enhancements, compiling regulatory data, and preparing research reports.

• Bachelor’s degree required.
• FINRA Series 6 & 26 required.
• Minimum 8+ years of financial services experience in life and annuities.
• In‑depth knowledge and understanding of insurance laws, SEC regulations, FINRA rules, and other requirements related to the life and annuity business.
• Effective communication skills, both verbal and written.
• Excellent analytical and problem‑solving skills.
• Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk.
• Commitment to customer service and quality.

Our compensation reflects the cost of labor across several U.S. geographic markets. The base pay for this position ranges from $105,000/year in our lowest geographic market up to $140,000/year in our highest geographic market. Pay is based on a number of factors including market location and may vary depending on job‑related knowledge, skills, and experience.

Employees who meet benefit eligibility guidelines and work 30 hours or more weekly are eligible to enroll in Group 1001’s benefits package. Eligible employees (and their families) can participate in the Company’s comprehensive health, dental, and vision insurance plan options; basic and supplemental life insurance; short and long‑term disability; the Employee Assistance Program; wellness programs; and the Company’s 401(k) plan with matching contributions.

Boston, MA