Compliance Manager, Retail Distribution

Overview:The Retail Distribution Compliance Manager is a key contributor within the organization, serving as an advisor to business leaders and key partners. This role is accountable for translating business strategy into technology-enabled solutions, driving alignment across stakeholders, and ensuring delivery of initiatives that generate measurable business value. This role serves as a regulatory compliance professional with responsibility for performing compliance and suitability analysis and providing regulatory guidance for fixed annuities, fixed indexed annuities, and other insurance-related investment products. The position also supports the review and oversight of related marketing, advertising, and sales activities to ensure compliance with applicable laws, regulations, and company policies.The selected candidate will work independently supporting cross-functional efforts to influence decision-making and ensure adherence to enterprise standards. The selected candidate will be based in either our Hartford, CT or Charlotte, NC office and will follow a hybrid work schedule. Remote work arrangements may be considered for an exceptional candidate. Responsibilities:Apply a broad range of theories and principles in the planning, organization and integration of Compliance and Suitability workLead project initiatives that span significant portion of business and assess recommendations for review by senior managementTakes the lead to identify, assess and develop compliance recommendations for issuesProvides compliance advice and counsel as neededSupport compliance processes, programs or initiatives ad hocQualifications:Minimum of 4 years of compliance experience Bachelor’s Degree in business or equivalent work experienceSolid understanding of business operations and of the related legislative, regulatory, and in-house company policy requirements associated with themDemonstrated strategic thinking and problem-solving skillsStrong knowledge of NAIC Model Regulations and other applicable federal and state insurance regulationsExcellent verbal and written communicationStrong proficiency with MS Office tools for analysis and reportingExperience with stakeholder management in a matrixed business environmentAbility to translate business needs into technical requirementsAnalytical mindset with attention to detailAbility to effectively collaborate and build productive cross-functional partnershipsSound ethical and legal judgment with the capacity to effectively negotiate with business partnersAbility to work independently and/or collaborate with cross-functional team members Demonstrated business savvy with a strategic focus for problem solvingEffective communicator with outstanding interpersonal and organizational skillsAbility to establish and maintain productive business relationships across the organizationA self-starter with strong organizational and project management skillsAbility to handle a high volume of matters while balancing competing demandsWillingness to take initiative, lead projects and drive projects to through to completionJobFunctionMPPayTypeSalaryTravelRequiredtrueTravelPercentage10HiringMinRate110000HiringMaxRate135000