Compliance Manager, Retail Distribution

Talcott • Hartford, CT

3d • Hybrid

About The Position

The Retail Distribution Compliance Manager is a key contributor within the organization, serving as an advisor to business leaders and key partners. This role is accountable for translating business strategy into technology-enabled solutions, driving alignment across stakeholders, and ensuring delivery of initiatives that generate measurable business value. This role serves as a regulatory compliance professional with responsibility for performing compliance and suitability analysis and providing regulatory guidance for fixed annuities, fixed indexed annuities, and other insurance-related investment products. The position also supports the review and oversight of related marketing, advertising, and sales activities to ensure compliance with applicable laws, regulations, and company policies. The selected candidate will work independently supporting cross-functional efforts to influence decision-making and ensure adherence to enterprise standards. The selected candidate will be based in either our Hartford, CT or Charlotte, NC office and will follow a hybrid work schedule. Remote work arrangements may be considered for an exceptional candidate.

Requirements

• Minimum of 4 years of compliance experience
• Bachelor’s Degree in business or equivalent work experience
• Solid understanding of business operations and of the related legislative, regulatory, and in-house company policy requirements associated with them
• Demonstrated strategic thinking and problem-solving skills
• Strong knowledge of NAIC Model Regulations and other applicable federal and state insurance regulations
• Excellent verbal and written communication
• Strong proficiency with MS Office tools for analysis and reporting
• Experience with stakeholder management in a matrixed business environment
• Ability to translate business needs into technical requirements
• Analytical mindset with attention to detail
• Ability to effectively collaborate and build productive cross-functional partnerships
• Sound ethical and legal judgment with the capacity to effectively negotiate with business partners
• Ability to work independently and/or collaborate with cross-functional team members
• Demonstrated business savvy with a strategic focus for problem solving
• Effective communicator with outstanding interpersonal and organizational skills
• Ability to establish and maintain productive business relationships across the organization
• A self-starter with strong organizational and project management skills
• Ability to handle a high volume of matters while balancing competing demands
• Willingness to take initiative, lead projects and drive projects to through to completion

Responsibilities

• Apply a broad range of theories and principles in the planning, organization and integration of Compliance and Suitability work
• Lead project initiatives that span significant portion of business and assess recommendations for review by senior management
• Takes the lead to identify, assess and develop compliance recommendations for issues
• Provides compliance advice and counsel as needed
• Support compliance processes, programs or initiatives ad hoc

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level