POS09202018 - Associate Director, Compliance
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. Group1001'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.

Group 1001, and its affiliated companies, is strongly committed to providing a supportive work environment where employee differences are valued. Diversity is an essential ingredient in making Group 1001 a welcoming place to work and is fundamental in building a high-performance team. Diversity embodies all the differences that make us unique individuals. All employees share the responsibility for maintaining a workplace culture of dignity, respect, understanding and appreciation of individual and group differences.

The Associate Director of Compliance is responsible for providing compliance support to the Group 1001 Life and Annuity business unit, focusing on marketing and distribution support. This role will provide compliance support and guidance for various distribution models, including agent sales, direct-to-consumer, and business-to-business-to-consumer.

Main Accountabilities:

• Review and approve annuity product advertising and marketing materials, spanning fixed annuities, fixed index annuities, variable annuities and registered index-linked annuities.
• Actively participate on various projects as subject matter expert, providing quality analysis and sound decision making
• Perform transactional reviews of non-cash compensation, electronic communications, and registered person disclosures.
• Lead efforts to identify, interpret and assess product compliance regulations.
• Stay up to date with relevant regulations, standards, and industry best practices to ensure compliance practices are current and effective.
• Foster a culture of compliance and accountability within the team and across the organization.

Qualifications:

• Bachelor's degree required.
• 5+ years of financial services compliance experience
• Series 6 and 26 FINRA registration
• Must have strong knowledge and understanding of compliance requirements and regulations; knowledge of insurance and investment products; sales and service processes; and the financial services industry.
• Strong business acumen

Benefits Highlights:

Employees who meet benefit eligibility guidelines and work 30 hours or more weekly, have the ability to enroll in Group 1001's benefits package. Employees (and their families) are eligible to participate in the Company's comprehensive health, dental, and vision insurance plan options. Employees are also eligible for Basic and Supplemental Life Insurance, Short and Long-Term Disability, and to enroll in the Company's Employee Assistance Program and other wellness initiatives. Employees may also participate in the Company's 401K plan, with matching contributions by the Company.

#LI-AB1 #LI-REMOTE

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