Life & Annuity Deputy Chief Compliance Officer/Sr. Compliance Director

Life & Annuity Deputy Chief Compliance Officer/Sr. Compliance Director

Company Summary

Come join one of America’s fastest growing insurance companies with a stable history of 175 years.  At National Life Group (“NLG”), we offer a flexible work environment with opportunity for growth.  As a mission-driven business, our promises are as important as the products we sell.  We encourage our associates to live our values: Do Good. Be Good. Make Good.

Our mission extends beyond the insurance and annuities policies that we sell.  Our cause is also to make the world a better place through grants from our charitable foundation, paid time for our employees to volunteer, environmentally sustainable and healthy work sites, and events that promote the work of nonprofits in our own backyard.

We invite you to explore what we have to offer and to join our cause.

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 oversee the regulatory-focused teams of Advertising Guidance and Regulatory & Risk Guidance and/or the investigatory-focused teams of Sales Practice Guidance and the Special Investigative Unit (“SIU”).

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 strategic planning with senior management, 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.
• Provide input and direction to assist home office and field partners on sales and solicitation best practices.
• 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.

Minimum Qualifications

• 16+ 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.
• Effectively work in a team environment with strong collaboration and customer service focus.
• 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.
• All other duties as assigned.

Preferred Qualifications

• LOMA certifications, including the Associate, Insurance Regulatory Compliance (“AIRC”) designation
• FINRA Series 7 and 24 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!

The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.

Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position.  National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment.

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.   

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT – founded in 1848, Life Insurance Company of the Southwest, Addison, TX – chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

National Life Group

1 National Life Dr

Montpelier, VT 05604

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