A leading insurance company is looking for a Chief Compliance Officer to join its team. The Chief Compliance Officer will be responsible for overseeing the compliance department and ensuring a strong culture of compliance within the firm. This role will be performed on a hybrid schedule.
Responsibilities :
- Develop and lead key firm compliance initiatives
- Oversee and review the firm's Written Supervisory Procedures
- Assess the adequacy of compliance policies and procedures
- Maintain effective working relationships with insurance and regulatory agencies and authorities
Requirements:
- 10+ years of Broker -Dealer or Investment- Adviser Compliance
- Series 7,24, 65, 53
- Strong leadership experience and ability to work on a team
- Located/Willing to relocate to Vermont, or Dallas, TX
