Job Details

Head Of Workplace Compliance

Company name


Organization Type


Job Type

Legal Staff

Date Last Verified

Aug 05,2019

Valid Through

Nov 18,2019

Posted on

Jun 06,2019

Years of Experience

Min 10 yrs required


Denver, CO, United States

Employment Type



Practice Area
Corporate >> Corporate - Securities and Capital Markets
Litigation >> Litigation - Insurance
  Employer Sponsored Job (Free to apply to)
32 hits 1 times Apply


Head of Workplace Compliance
The candidate will lead company’s Workplace Solutions Compliance unit. Will lead these compliance programs related to matters impacting the retirement and voluntary benefits business. Perform regular assessments to ensure that the business line's policies and procedures meet applicable Company and industry standards for ethical market conduct. Partner with the business leaders, providing advice and guidance on compliance matters and mitigation strategies for compliance risks and issues. In conjunction with Operational Risk Management, assess the business line’s compliance risks and prepare reports to the business line and corporate management concerning such risks. Drive continuous improvement of the Workplace Compliance programs, while balancing the needs of the business and the constant changing regulatory environment. Direct and assign projects to Compliance business line staff and other Compliance staff as appropriate. Initiate projects to improve the efficiency of the department and business line’s operation. Initiate projects to ensure compliance is achieved upon discovery of noncompliance. Prepare and propose annual departmental budget requirements. Review and approve business line's responses to compliance reviews, market conduct examinations, SEC and/or FINRA audits and examinations, and internal reviews. Provide regular updates to senior management on the state of the Workplace Solutions Compliance program, highlighting any gaps and the remediation measures. Prepare and propose policies and procedures necessary to assure overall compliance with state, federal, and international laws and regulations. Represent the company on industry committees and before regulators regarding various regulatory issues. Provide compliance assistance to Corporate and other business lines as necessary. Review and evaluate legislative changes and notify business units. Monitor the creation of administrative forms for areas such as claims, privacy notices, and compliant/compliance matters. Develop and update the business line's compliance manual. May attend industry meetings and state insurance department hearings to communicate Company position concerning proposed regulations.

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.

Additional info

Ref. #: R20023113

Company info

Hiring Coordinator
4600 South Syracuse St.
Denver, CO 80237-2719

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