Director, Compliance Operations

Integrity Marketing Group•Dallas, TX

2d•Onsite

About The Position

The Director, Compliance Operations owns the operating rhythm of the Life & Annuity compliance program: the cadence, reporting, monitoring and testing, and initiative delivery that make the program run and allow it to demonstrate that it works. This role also owns compliance integration for business units entering the segment, both newly acquired units and the backlog of prior acquisitions that have not yet been fully absorbed into the segment operating model. This is the seat that turns a compliance program from something the team does into something the business can see and an examiner can test. The ideal candidate brings compliance operations or program management depth, the discipline to build and hold a reporting and monitoring calendar, and the ability to drive initiatives to closure across teams that do not report to them. Integrity is growing quickly through acquisition, and a compliance program that cannot report, monitor, execute, or integrate at that pace will not hold.

Requirements

Bachelor's degree in Business, Legal Studies, Insurance, Operations Management, or a related field
8 to 12 years of experience in compliance, with substantial time in compliance operations, monitoring and testing, or program management
Demonstrated experience owning a monitoring or testing program, including planning, execution, and reporting of results
Demonstrated experience building compliance reporting for executive and governance audiences
Track record of driving cross-functional initiatives to closure without direct authority
Experience integrating acquired businesses into an existing compliance operation
People leadership experience, including developing analysts and senior analysts
Strong analytical and data skills, including the ability to build metrics that mean something to an executive audience
Exceptional organizational discipline, with the ability to hold a calendar and a commitment log across many parallel workstreams
Clear written communication, including executive reporting and procedure drafting
Ability to influence and coordinate across business units, enterprise functions, and acquired teams
Comfort working in a fast-paced, high-growth, acquisitive environment
Proficiency in Microsoft Office Suite, with strong Excel and PowerPoint capability

Nice To Haves

SILA-F, AIRC, ACS, CCEP, or comparable compliance designations
Experience in a distribution, IMO, FMO, or agency environment
Hands-on experience with GRC platform reporting and workflow configuration
Experience remediating a backlog of partially integrated business units
Process improvement or project management certification such as Lean, Six Sigma, PMP, or CAPM
Familiarity with life and annuity suitability, best interest, and advertising review requirements

Responsibilities

Own the segment compliance operating rhythm, including meeting cadence, governance forums, reporting calendar, and escalation paths
Own compliance reporting to segment leadership, executive stakeholders, and enterprise governance, including metrics definition and trend commentary
Maintain the segment compliance dashboard and key indicators on the enterprise GRC platform
Prepare materials for governance forums, including status, findings, remediation progress, and emerging risk
Own the segment monitoring and testing program, including annual planning, scope, execution, and reporting of results
Design and execute testing over suitability and best interest documentation, replacements and exchanges, required disclosures, and advertising review workflow
Track and validate remediation of control gaps and findings through to documented closure
Maintain audit-ready evidence and documentation to support internal and external review
Own compliance integration for business units entering the segment, including newly acquired units and the backlog of previously acquired units not yet fully integrated
Receive the post-close handoff from the enterprise transaction runbook and own the segment lanes through to completion
Assess acquired unit compliance practices against segment standards and build a remediation and adoption plan with defined milestones
Coordinate with enterprise capability owners on privacy, third-party risk, audit scope, and policy adoption for incoming units
Drive compliance initiatives from mandate to closure across teams without direct authority over all participants
Own segment procedures and standard operating procedures, including annual review and update
Identify automation and efficiency opportunities across the program, including AI-assisted monitoring, reporting, and documentation workflows
Lead, develop, and grow the compliance operations team