Responsible for establishing and maintaining a strong understanding of insurance legislation and regulatory requirements Establishes compliance standards and implements continuous improvements to internal control structure to meet all regulatory obligation. Recommends solutions to core business risk and compliance issues. Ensures team members understand and support the business’ risk and compliance frameworks and policies by building strong working relationships and collaborating with internal departments and business divisions. Manages responses to regulatory inquiries and complaints. Collaborates with key stakeholders to design and implement the Business Continuity Plan. Maintains and reports on the mandatory compliance requirements and compliance policies and frameworks. Supports the business and global Risk & Compliance team in conducting and facilitating annual operational and strategic risk assessments. Monitors risk mitigating actions of the business. Establishes and maintains departmental goals, standards, processes, and control structure including analyzing and suggesting resolutions to cross-functional business processes.

Responsible for executing the end-to-end compliance strategy and programs to fulfill the requirements of current and rapidly increasing regulations. Monitor and track recommendations for enhancements to policies, processes, procedures, or controls from external examinations, internal audits, and compliance testing. Responsible for managing strategic sourcing and procurement program initiatives, such as program materials (policy, procedure, process maps, desk manuals, etc.), including how such materials impact or integrate with other programs or controls, intersections with technology development, integration, technology, conversions and other special programs as approved. Exercises significant latitude in proactively managing the initiation, planning, execution, controlling and closing processes on programs. Responsible for partnering with stakeholders to create and plan program changes, updates, execution, change management and other activities as necessary to continuously improve program effectiveness and efficiency. Lead management of QA program and procedures, including vendor management. Liaise with C&G team for program knowledge share to ensure the central team is aware, understands and can incorporate program updates into C&G activities (RCSA, RCRA, Business Continuity, etc.). Manage self-identified issue development and remediation, including coordinating cross-functional issues. Develops operational and key risk metrics/measures and manages key metric objectives.

Serve as a regulatory subject matter expert for the firm. Responsible for ensuring the firm is complying with applicable FINRA, SEC, state securities and insurance rules and managing compliance policies and procedures. Responsible for monitoring the regulatory environment to detect proposed new and amended rules and regulations that impact securities broker-dealers and registered investment adviser firms. Develop or amend compliance policies, procedures and controls in collaboration with stakeholders across the company. Support Compliance Department communication and facilitate education initiatives and firm-wide projects.

Responsible for ongoing review of advertising and sales literature against applicable regulatory requirements and the firm’s policies and procedures. Determined whether regulatory filings of advertising were required and coordinate as needed. Provided support to Advisors and their teams.

Responsible for coaching and mentoring staff, including providing employees with development opportunities. Oversaw team personnel activities. Conducted regular and individual team meetings with Supervisors, coach performance and identify opportunities for proactive improvements. Resolved complex escalations, made decisions and ensured prompt follow-up when neededd. Ensured all standard operating procedures were accurate and up-to-date