Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

Responsibilities

  • Review current policies and procedures; identify and help to implement new and/or enhanced practices.
  • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
  • Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
  • Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
  • Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
  • Compile information for completion of reporting, including reports for management and state/federal regulators.  Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.
  • Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)
  • Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
  • Update and maintaining complete and accurate policies, procedures, compliance logs or files.
  • Assist team members with research and assigned tasks, and provide training to supported teams.

Qualifications

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience. 
  • Two years of regulatory, securities, or advertising compliance experience.
  • Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications. 
  • Written and verbal communication skills.
  • Analytical and research skills.
  • Proficiency using MS Office tools.

Preferred Qualifications

Working Conditions

  • Office environment.

Working Environment:

Employees will be assigned to one of the following work location designations:

  • In office employees will perform all of their work at a Company office location.
  • Hybrid employees will need to work at a Company office location at times and a remote work location (typically their home) at times.
  • Commuting Remote employees will need to report to a Company office location at times, but will perform their work primarily remotely.
  • Non-commuting Remote employees will not be assigned to report to a Company office location (although they may need to travel to a Company office upon request) and will perform their work remotely.

What You Receive:

A Comprehensive Wealth + Health package.  It’s our passion to empower people, and especially our employees, to add years to their lives and more life to their years.  That means a healthy account balance and a healthy body to match.  As you’ll come to discover, Wealth + Health is a central part of everything we do!

Wealth Benefits; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Employee Discounts, Career Training & Development Opportunities, Certification Sponsorship

Health and Work/Life Balance Benefits; Be Well Company sponsored holistic wellness program which includes Wellness Coaching and reward dollars, Parental Leave, Adoption Assistance, Employee Assistance Program, College Coach Program, Back-up Care Program, Paid Time Off to Volunteer, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program