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Date Last Verified
Years of Experience
ProfileHead of Workplace Compliance
Qualification and Experience
The candidate should have a Bachelor’s degree in a business field. Law degree, CLU, FLMI, or Legal Assistant degree is preferred. Must have 10 years of insurance and/or securities experience, including 2 years in compliance functions at a supervisory or management level. FINRA securities and/or state life insurance licenses may be required, as appropriate. Passion for modernizing the compliance function through the use of data analytics, technology, and policy/procedure improvements is preferred. Knowledge in one or more areas: Defined benefits/contributions and/or voluntary benefits is desired. Broker-dealer and investment advisory experience is an asset. Experience interacting with and responding to regulators (SEC, DOL, FINRA, Departments of Insurance) is a plus.
Ref. #: R20023113
4600 South Syracuse St.
Denver, CO 80237-2719