Compliance Associate

About This Role

The Compliance Associate will monitor and evaluate agent sales practices to ensure adherence to state and federal regulations and company policies, safeguarding the company's reputation and promoting responsible decision-making. This role involves investigating potential violations, analyzing data, and collaborating with business partners.

Responsibilities

• Investigate and assess agent sales practices to detect potential violations of state and federal laws, SEC or FINRA regulations, and/or Company procedures
• Learn to analyze and connect data points from various sources to identify potential trends or risks
• Prepare clear and concise reports of findings for Management that highlight potential regulatory and sales practice concerns
• Investigate sales practice alerts from Tableau dashboards and other resources, and initiate inquiries with Field Management
• Engage with Field Management and Home Office supervisory teams to coordinate and assist in resolving sales practice matters identified during investigations
• Develop and test compliance procedures and processes aimed at continuous improvement of sales practice monitoring
• Engage in special projects or initiatives as needed

Requirements

• Foundational understanding of Life Insurance products, annuities, and Securities (mutual funds, equities, and managed accounts)
• Strong critical thinking and data analysis skills
• Ability to organize and communicate findings clearly for a range of audiences
• Proficiency with Microsoft Office Suite

Qualifications

• Bachelor’s degree preferred

Nice to Have

• Experience with Tableau and visually conveying analytical narratives

Skills

* Required skills

Benefits