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Compliance Consultant

Full-time 5 views
Company Sammons Financial Group. Location Sioux Falls, SD, United States



3-4 yrs required



Oct 27, 2022

Feb 09, 2023

Jul 14, 2022


Compliance Consultant
The candidate will be responsible for performing detailed research and review of regulatory requirements and addressing changes for the industry as required. This may include reviewing, investigating, and responding to regulatory and client initiated complaints, performing agent investigations and/or ensuring advertising compliance with fixed, indexed and variable life and annuities. Responsible for incoming and outbound communications, both verbal and written, with clients, agents, third parties, and employees in other departments. Accountable for small to medium scope Compliance initiatives that involve single or small number of business functions. Accountable for compliance work involving a medium level of business risk. Required activities may also include reviewing advertising and sales literature to ensure compliance with corporate guidelines as well as state laws and regulations for both consumer and agent use only ads. Should have a Bachelor's Degree business or related field preferred or equivalent business experience preferred. Juris Doctorate degree preferred. Must have 3-4 years' relevant compliance, internal audit or other equivalent experience. Working knowledge of life and annuity products, with specific knowledge of insurance company operations. Ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials. Excellent interpersonal and customer service skills. Strong analytical solving skills, including the ability to accumulate, organize, and assimilate large amounts of information. Excellent attention to detail and accuracy; including proofreading skills. Ability to manage multiple tasks simultaneously and manage competing priorities. Ability to work independently and be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions. Organizational skills. Demonstrate professionalism and an aptitude for problem resolution. Advanced computer skills, including Microsoft Word and Excel and Adobe Acrobat. Excellent written and verbal communication skills. Excellent interpersonal and customer service skills. Criminal background check required.

Additional info

Requisition Number: COMPL004653.

Company info

Hiring Coordinator
Sammons Financial Group.
5400 S Solberg Ave
Sioux Falls, SD 57108

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