State Licensed Compliance Director
A company is looking for an Associate Director, Compliance. Key Responsibilities Review annuity and life insurance marketing materials for compliance with relevant regulations Develop and maintain written supervisory procedures and training materials for the broker-dealer Coordinate regulatory filings and assist with compliance program testing and regulatory exams Required Qualifications Bachelor's degree FINRA Series 6 & 26 required Minimum 8+ years of financial services experience In-depth knowledge of insurance laws and SEC regulations related to life and annuity business
A company is looking for an Associate Director, Compliance.
Key Responsibilities
Review annuity and life insurance marketing materials for compliance with relevant regulations
Develop and maintain written supervisory procedures and training materials for the broker-dealer
Coordinate regulatory filings and assist with compliance program testing and regulatory exams
Required Qualifications
Bachelor's degree
FINRA Series 6 & 26 required
Minimum 8+ years of financial services experience
In-depth knowledge of insurance laws and SEC regulations related to life and annuity business
