Our client, a leading life insurance company, is seeking a Compliance Manager to oversee Market Conduct and lead the organization’s Special Investigations Unit (SIU). This is a senior leadership role with high visibility across the business, reporting directly to executive leadership and collaborating closely with Legal, Distribution, and Agency teams.
This position is ideal for an experienced compliance leader with a deep background in life insurance operations, including new business, underwriting, policy administration, and contracting, who is ready to take ownership of enterprise-wide compliance and market conduct oversight.
Please note: At this time, we are unable to offer visa sponsorship or H-1B transfers. Applicants must be authorized to work in the United States without the need for current or future sponsorship.
Key Responsibilities
- Serve as Chief Compliance Officer for Market Conduct, ensuring adherence to all state and federal regulatory requirements.
- Lead the company’s Special Investigations Unit (SIU) to detect, investigate, and resolve potential fraud, market conduct issues, and consumer complaints.
- Conduct and oversee agent audits, identifying compliance risks, recommending procedural changes, and implementing corrective actions.
- Monitor and interpret state regulatory changes, ensuring policies, procedures, and communications remain compliant.
- Partner with senior leadership to oversee policy form reviews, advertising, and sales training materials for compliance with market conduct regulations.
- Act as the company’s AML Compliance Officer, ensuring robust training, monitoring, and reporting frameworks are in place.
- Represent the company in industry associations and regulatory forums, staying at the forefront of compliance best practices.
Qualifications
- Bachelor’s degree in Business, Legal Studies, or related field.
- 5+ years of experience in compliance, audit, or operations within the life insurance industry (required).
- Strong knowledge of life insurance products, policy administration, underwriting, and distribution.
- Proven ability to lead regulatory audits, investigations, and fraud prevention programs.
- Excellent analytical, organizational, and communication skills, with the ability to work independently and manage multiple priorities.
- Professional designations such as LOMA ACS, FLMI, or equivalent are strongly preferred (or willingness to obtain).
Why Join
This is an opportunity to play a pivotal role in shaping compliance and market conduct strategy at a growing life insurance company. You’ll have direct influence on executive decision-making, lead critical compliance functions, and represent the organization in industry forums.
