Lead the development and execution of a strategy to modernize fraud and agent oversight programs using emerging technologies and AI, while building high performing teams and driving operational efficiencies aligned with organizational objectives, risk tolerance, and applicable regulatory and compliance requirements.

Responsibilities 

  • Lead the development of a forward-looking technology, AI, data and analytics roadmap that strengthens the fraud and agent oversight compliance programs scalability and effectiveness. 

  • Drive and oversee continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency. 

  • Build and sustain a culture of integrity and continuous improvement across high-performing teams 

  • Collaborate across the Compliance department and lead integration of other functional areas to build support for work plans and initiatives. 

  • Stay current on compliance trends by researching industry publications and literature, benchmarking, consulting with industry counterparts, and attending industry conferences and continuing education programs. 

  • Direct and assign projects; provide guidance to senior managers, managers and other Compliance staff to improve the efficiency of the department and of company Compliance procedures. 

  • Develop and/or manage department budgets for Compliance operations. 

  • Manage highly complex Compliance matters with minimal supervision. 

  • Develop, maintain, and update Compliance policies and procedures for multiple functions and/or locations. Recommend corrective action or revisions to policies and procedures as appropriate based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations and/or industry trends. 

  • Work with multiple functions, units, or locations of the business to develop cost effective and common solutions to achieve regulatory compliance on an enterprise-wide basis. 

  • Represent the company on industry committees regarding various regulatory issues. 

  • Assist in evaluating overall Compliance risk factors. 

  • Assist the compliance department with regulatory examinations, corporate audits, and internal audits. 

 

Qualifications 

  • Bachelor’s in business management, finance, analytics, or other relevant field, or equivalent experience 

  • 12 years of financial services, insurance and/or securities experience in compliance, fraud prevention, financial crimes, or regulatory compliance  

  • Leadership and project management skills, including managing cross-functional teams.  

  • Excellent oral/written communication and interpersonal skills 

  • Demonstrated experience building or leading fraud monitoring, agent oversight, or surveillance and risk analytics teams, including embedding continuous improvement practices to strengthen controls and reduce risk 

 

Preferred Qualifications 

  • Master’s degree, JD, CLU, FLMI or legal assistant degree 

  • Advanced understanding of insurance and/or securities laws and the impact on company operations. 

 

Working Conditions 

  • Office Environment 

  • Occasional Travel <10% 

The Salary for this position generally ranges between $175,000 - $200,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion