Life & Annuity Compliance Director

Please note that we do not offer visa sponsorship for this position.

Role Summary                                                                                                   

 

Are you looking for the next step in your Compliance career with the opportunity to influence and drive Compliance strategy at the enterprise level?  We are seeking a talented life insurance professional who is passionate about people leadership and who can ensure compliance with applicable regulatory requirements while enabling our business to innovate and grow.

In this role you will have the opportunity to lead people and directly partner with the Chief Compliance Officer for Life & Annuity in implementing and maintaining strategic Compliance initiatives.  The successful candidate will provide strategic leadership for one or more Compliance functions with responsibilities that may include regulatory oversight, business advisory, investigations, customer protection, or other strategic Compliance initiatives,.

As part of our team, you will have the opportunity to apply your skills and expertise, while continuing to grow your business and compliance knowledge as you take the next step in your career journey.  The main products handled by the Company are fixed life insurance, including indexed universal life insurance, along with living benefits, and fixed annuities, including fixed indexed annuities.

Essential Duties and Responsibilities

• Effectively lead assigned teams across multiple locations to design and implement new compliance processes that meet the changing regulatory landscape in a growth-oriented business.
• Develop and maintain productive relationships with senior leaders and key internal and external stakeholders, including regulators, and customers to foster a strong compliance culture.
• Provide compliance direction and communicate positions/decisions, exercising sound, independent judgement, grounded in best practice.
• Establish and sustain a strong, professional, and focused team who are engaged in collaboration with key internal and external business partners.
• Provide ongoing coaching and mentorship to direct reports to ensure success and accountability.
• Contribute to Compliance strategic planning, with implementation responsibility for short to mid-term (1-3 years) functional strategy initiatives that align with Company goals.
• Serve as a solutions-oriented, risk-based resource on Company projects and initiatives, contributing to company-wide policy development.
• Advise and consult with business units, including Operations and Distribution, regarding regulatory developments and requirements.
• Prepare and deliver training and awareness sessions to producers and home office associates as needed.
• Recommend best practices to business partners and advise on the regulatory/risk implications of business decisions.
• Participate in Compliance forums with industry peers.

AI Proficiency Expectations

At National Life Group, we view AI as an enabler of human potential.  We use AI to help us work smarter, serve more clients, and keep our promises, while remaining a relationship-driven business where our people are our greatest strength.

All applicants are expected to:

• Leverage approved AI tools, where appropriate, to improve the efficiency, quality, and impact of their work.
• Stay curious and open to new AI-enabled ways of working.
• Exercise sound judgment by reviewing and validating AI-generated content.
• Maintain accountability for the accuracy, quality, fairness, and integrity of work products by adhering to National Life’s AI guiding principles.
• Use AI responsibly and in accordance with company policies related to confidentiality, data privacy, security, compliance, retention, and intellectual property.

Minimum Qualifications

• 10+ years of progressive and relevant work experience, including both extensive compliance and fixed life and annuity industry experience.
• Ability to think and execute at both a strategic and operational level.
• Ability to independently research, interpret, and communicate complex regulatory subject matters to various audiences.
• Demonstrate tact and professionalism and the ability to interact with individuals and leaders at all levels of the Company, the Field, and with the public on sensitive and complex matters.
• Advanced problem-solving skills with demonstrated ability to recommend thoughtful and creative solutions reconciling diverse viewpoints and applying deep knowledge of organizational goals to increase efficiencies and reliability that optimize the customer experience.
• Project leadership experience, including proven experience successfully planning and executing a project from start to finish.
• Exemplify the NLG values and Servant Leadership Tenets by contributing new ideas and initiatives that align with these principles and influences others to do the same.

Preferred Qualifications

• LOMA certifications, including the Associate, Insurance Regulatory Compliance (“AIRC”) designation
• FINRA Series 7, 24, & 63 registrations
• Other relevant industry certifications such as Certified Fraud Examiner (“CFE”), Certified Anti-Money Laundering Specialist (“CAMS”), Certified Information Privacy Manager (“CIPM”), Certified Information Privacy Professional (“CIPP”), etc.

Benefits

• Your benefits start day one and are flexible and customizable to your and your family’s specific needs. Check out the BENEFITS of a Career at National Life!