Vice President, Compliance

Vice President, ComplianceAbout the CompanyReputable retirement & insurance platformIndustryInsuranceTypePrivately HeldAbout the RoleThe Company is in search of a Vice President, Compliance to take on a senior leadership role with a focus on enterprise oversight of annuity suitability, agent supervision, and broker-dealer monitoring programs. The successful candidate will be responsible for ensuring that sales practices, agent conduct, and supervisory controls are in line with regulatory requirements, all while fostering a culture of compliance, ethical conduct, and consumer protection. Key responsibilities include leading and managing a team for various compliance activities, overseeing agent onboarding and supervision, designing and enhancing supervisory testing programs, and providing oversight of broker-dealer-affiliated distribution. The role also involves exercising independent judgment on complex matters, driving data-informed oversight, and partnering with various internal teams to interpret and implement regulatory requirements. Applicants for the Vice President, Compliance position at the company should have a minimum of 5 years' experience in suitability, supervision, sales practice governance, or agent oversight within relevant financial environments. A strong knowledge of annuity suitability requirements, state insurance regulations, and supervisory frameworks is essential. The role requires demonstrated leadership experience, particularly in managing teams and driving program enhancements, as well as experience in supporting regulatory examinations and remediation efforts. The ideal candidate will also hold FINRA licenses and be adept at promoting a culture of accountability, sound judgment, and regulatory discipline.Travel PercentLess than 10%FunctionsFinance