ASSOC, COMPLIANCE
About The Position
Oceanview Life and Annuity Company is seeking a detail-oriented and analytical Associate, Compliance to support the continued growth and integrity of our business. In this role, you will work closely with the Chief Compliance Officer (CCO), Operations leadership, and cross-functional teams to help strengthen and execute key compliance and operational controls across the organization. This position offers a unique opportunity to gain broad exposure to the annuity business while contributing directly to high-impact initiatives involving suitability review, regulatory compliance, operational oversight, anti-fraud efforts, marketing material review, and risk management. The ideal candidate is curious, collaborative, highly organized, and eager to make a meaningful impact within a fast-growing organization. You’ll have regular interaction with senior leadership and visibility into strategic and operational decision-making across the company.
Requirements
- Bachelor’s degree required.
- 3–5 years of experience in compliance, operations, or risk management within the annuity, life insurance, or financial services industry.
- Strong understanding of annuity products, suitability standards, and insurance regulatory environments.
- Proficiency in Microsoft Office applications, including Excel, Word, PowerPoint, and Adobe Acrobat Pro.
- Strong analytical, organizational, and problem-solving skills.
- Excellent written and verbal communication skills.
- Ability to manage sensitive information with discretion and professionalism.
Nice To Haves
- Experience working for an insurance carrier, broker-dealer, distribution firm, or related financial services organization preferred.
- Strong business acumen with an interest in compliance and operational excellence
- Ability to analyze complex information and make sound, risk-based decisions
- Strategic thinker with strong attention to detail
- Self-starter who can work independently and collaboratively
- Comfortable interacting with all levels of leadership
- Ability to manage multiple priorities in a fast-paced environment
- Strong interpersonal skills with a collaborative, team-oriented mindset
- Adaptability and willingness to take on new challenges
Responsibilities
- Review annuity applications for suitability, ensuring compliance with state regulations and company guidelines.
- Assist in identifying, assessing, and mitigating compliance and operational risks.
- Support anti-fraud and anti-money laundering (AML) monitoring and detection efforts.
- Help ensure compliance with applicable state and federal insurance regulations.
- Collaborate with the Chief Compliance Officer, Chief Operating Officer, and operational teams on strategic compliance initiatives and process improvements.
- Assist with oversight of third-party administrators to help ensure compliant operational practices.
- Provide reporting, analysis, and updates to leadership regarding compliance activities and emerging risks.
- Participate in special projects and cross-functional initiatives as needed.
- Assist with drafting, updating, and maintaining compliance-related policies and procedures.
- Monitor regulatory developments and help ensure company practices remain aligned with evolving requirements.
- Support responses to regulatory inquiries, audits, and consumer complaints.
- Conduct compliance reviews of marketing and advertising materials and help manage the company’s marketing review system.
Benefits
- opportunity for incentive compensation including bonus compensation
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
