Manager Producer Compliance
作为生产商合规管理员，你将开发和管理 Omaha 的互联公司制造商 （包括经纪人，代理人和代表）的合规监督计划。你将负责管理一个合规顾问团队，他们将对经纪人和代理人和代表进行合规监管。这项职位还负责我们的经纪人-经销商和投资咨询机构 Mutual of Omaha Investor Services, Inc. (MOIS) 的合适监督功能。你将与内部业务合作伙伴密切合作，以确保持续遵守法规和内部程序。我们可以为你提供什么：·估计薪水：最低：112,000美元 - 151,000美元，加上年度奖励机会。· 401 ((k) 计划与2%的公司贡献和6%的公司匹配。· 与假期，个人时间和付费休息的工作生活平衡。详细阅读我们的福利和优惠页面。· 本职位申请人不得现在或将来任何时候都需要获得就业赞助。· 领导合规专业人员团队有效执行合规和生产者监督功能。· 与内部商业合作伙伴进行有效监管生产者的活动。确定潜在的问题，制定解决方案，并确保及时实施流程，程序和系统。· 监督，指导和管理遵守政策和程序的发展，包括代理人和经纪人合规手册，经纪人和投资咨询合规手冊以及经纪人书面监督程序。·监督，指导和管理经纪商和投资顾问的合规职能，包括但不限于分支机构审查，家庭办公室检查，合规监控，客户申诉，监管调查和询问，咨询合规以及监管变化管理。· 倡导整个组织中风险意识，持续改善和合规文化。你将带来什么：· 在金融服务行业内10年以上经验，包括以前的经纪商，投资顾客和/或保险合规。· FINRA 系列7,24系列和 S.
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As the Manager of Producer Compliance, you’ll develop and manage a compliance oversight program of Mutual of Omaha producers, including brokers, agents, and representatives. You’ll be accountable for managing a team of compliance consultants who will perform compliance oversight of brokers, agents, and representatives. This role is also responsible for broker-dealer and investment advisor compliance functions to support our broker-dealer and investment advisory arm, Mutual of Omaha Investor Services, Inc. (“MOIS”). You will collaborate closely with internal business partners to ensure ongoing compliance with regulations and internal procedures.WHAT WE CAN OFFER YOU:
- Estimated Salary: Minimum: $112,000 - $151,000, plus annual bonus opportunity.
- 401(k) plan with a 2% company contribution and 6% company match.
- Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
- Applicants for this position must not now, nor at any point in the future, require sponsorship for employment.
WHAT YOU'LL DO:
- Develop, oversee, and manage producer compliance program, including but not limited to: continuous monitoring / surveillance oversight, utilizing data analytics and technologies, and identifying, assessing and managing risk.
- Lead a team of compliance professionals to effectively perform compliance and producer oversight functions.
- Collaborate with internal business partners to perform effective oversight of producer activities. Identify potential issues, develop resolutions, and ensure timely implementation of processes, procedures and systems.
- Oversee, direct, and manages the development of compliance policies and procedures, including the Agent and Broker Compliance Manuals, broker-dealer and investment advisory compliance manuals, and broker-dealer written supervisory procedures.
- Oversee, direct, and manage broker-dealer and investment advisor compliance functions, including but not limited to branch examinations, home office examinations, compliance surveillance, customer complaints, regulatory examinations and inquiries, advisory compliance, and regulatory change management.
- Champion a culture of risk awareness, continuous improvement, and compliance throughout the organization.
WHAT YOU’LL BRING:
- 10+ years of experience within the Financial Services industry, including prior broker-dealer, investment advisor, and/or insurance compliance.
- FINRA Series 7, Series 24, and either Series 66 or 63+65
- Thorough knowledge of and experience in interpreting federal, state and industry laws, regulations; ability to identify, research, analyze interpret and apply in compliance related issues and activities.
- Strong collaboration skills; ability to motivate and influence constituents at all levels across the organization to comply with regulatory standards and compliance requirements.
- Strong leadership and team-building skills, empowering team members and driving cross-functional alignment.
- Excellent communication and interpersonal skills to engage effectively with stakeholders.
- Ability to analyze, interpret and utilize significant data to make sound business decisions; utilizes excellent critical thinking, problem solving, risk assessment skills.
- Commitment to excellence and adherence to regulatory standards in all endeavors.
- You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
- Able to work remotely with access to a high-speed internet connection and located in the United States.
PREFERRED:
- 5+ years of Compliance experience in a leadership role with proven ability to engage with management and business partners.
- Prior experience in communicating with state and federal regulatory bodies and/or coordinating regulatory inquiries and examinations.
We value unique experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply!
If you have questions about your application or the hiring process, email our Talent Acquisition area at . Please allow at least one week from time of applying if you are checking on the status.
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Salary: C26 | Pay Scale: CRP C26 - AnnualOriginally posted on Himalayas