Group 1001
Broker Dealer Compliance - Associate Director
Group 1001, Zionsville, Indiana, United States, 46077
Overview
Broker Dealer Compliance - Associate Director at Group 1001. This role supports the compliance management of our wholesale broker-dealer with cross-functional collaboration across senior management, distribution, product and operations. Group 1001 is a consumer-centric, technology-driven family of insurance companies focused on delivering value and operational performance by combining financial strength with deep insurance expertise and a can-do culture. Why This Role Matters
The Compliance Associate Director oversees the compliance program for the broker-dealer. The role does not directly manage a team but leads cross-functional groups with minimal management intervention, monitors workflow, and identifies risk before it becomes an issue. This position supports general compliance functions related to the annuity and life insurance business lines. How You\'ll Contribute
Reviews annuity and life insurance marketing materials to ensure compliance with 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 related 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, including 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 its market presence. Represents the company at trade association meetings and conferences and delivers internal sales training. Other general compliance responsibilities, including assisting with system enhancements, compiling regulatory data, and preparing research reports. What We\'re Looking For
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 life and annuity business Effective verbal and written communication skills 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 Compensation
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 factors including market location and may vary depending on job-related knowledge, skills, and experience. Benefits Highlights
Employees who meet benefit eligibility guidelines and work 30 hours or more weekly can enroll in Group 1001\'s benefits package. Benefits include comprehensive health, dental, and vision insurance options; Basic and Supplemental Life Insurance; Short and Long-Term Disability; Employee Assistance Program and wellness programs; and 401K plan with company matching contributions. Group 1001 and its affiliated companies are committed to a diverse, respectful, and inclusive work environment. Diversity is essential to building a high-performance team and a culture of dignity, respect, and appreciation of differences. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales Industries: Insurance This job description may be part of a larger posting. Referrals increase your chances of interviewing at Group 1001.
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Broker Dealer Compliance - Associate Director at Group 1001. This role supports the compliance management of our wholesale broker-dealer with cross-functional collaboration across senior management, distribution, product and operations. Group 1001 is a consumer-centric, technology-driven family of insurance companies focused on delivering value and operational performance by combining financial strength with deep insurance expertise and a can-do culture. Why This Role Matters
The Compliance Associate Director oversees the compliance program for the broker-dealer. The role does not directly manage a team but leads cross-functional groups with minimal management intervention, monitors workflow, and identifies risk before it becomes an issue. This position supports general compliance functions related to the annuity and life insurance business lines. How You\'ll Contribute
Reviews annuity and life insurance marketing materials to ensure compliance with 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 related 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, including 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 its market presence. Represents the company at trade association meetings and conferences and delivers internal sales training. Other general compliance responsibilities, including assisting with system enhancements, compiling regulatory data, and preparing research reports. What We\'re Looking For
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 life and annuity business Effective verbal and written communication skills 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 Compensation
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 factors including market location and may vary depending on job-related knowledge, skills, and experience. Benefits Highlights
Employees who meet benefit eligibility guidelines and work 30 hours or more weekly can enroll in Group 1001\'s benefits package. Benefits include comprehensive health, dental, and vision insurance options; Basic and Supplemental Life Insurance; Short and Long-Term Disability; Employee Assistance Program and wellness programs; and 401K plan with company matching contributions. Group 1001 and its affiliated companies are committed to a diverse, respectful, and inclusive work environment. Diversity is essential to building a high-performance team and a culture of dignity, respect, and appreciation of differences. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales Industries: Insurance This job description may be part of a larger posting. Referrals increase your chances of interviewing at Group 1001.
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