Financial Director of Corporate Compliance Officer
Are you interested in working for a collaborate organization that brings together innovative thinkers and experts? Is working for a company that is committed to their clients’ interests and leaders in their field important to you? If you love to build and have a curious mind, you need to read on.
Our client is looking for their Corporate Compliance Officer in Dallas Texas. This is a brand new position based on the growth goals of the organization. You will serve as theirs Privacy and AML Officer to ensure they comply with applicable laws, regulations, and internal policies. You will also work with their Member Firms, helping them understand compliance & regulatory issues, how it pertains to them as well as the importance of these regulations. You will work closely with the head of Government Relations.
As the Corporate Compliance Officer, you will develop, implement, and oversee the company’s compliance programs to mitigate risks and promote ethical conduct within the organization. It will be important and critical for you to stay up to date with relevant laws, regulations, and industry standards that impact and affect the company. You will conduct periodic compliance reviews, assessments, and audits to identify areas of non-compliance and implement corrective actions. You will establish policies and procedures to prevent and detect violations of laws, regulations, and internal policies. This includes designing and delivering compliance training programs for employees to enhance awareness and understanding of compliance requirements. You will conduct investigations into potential violations. You will own the documentation of compliance activities including policies, procedures, training records and audit reports as they relate to Our client. You will identify and assess any compliance risks within the organization. This will involve collaboration with the various business units to develop strategies for mitigating compliance risk. Another important aspect of the success of this role is to monitor the emerging compliance risks and trends relevant to their propose and proactive measures to address them.
You will be the lead, promoting a culture of ethics and integrity within the firm. This includes developing, implementing, and enforcing a code of conduct and related policies. You will work with HR as necessary to investigate and address complaints or reports of unethical behavior or policy violations. You will serve as the primary point of contact for regulatory agencies to include preparing and submitting regulatory filings, reports, and disclosures. You will coordinate and manage regulatory examinations and audits. This goes hand in hand with establishing a monitoring system to track compliance with applicable laws, regulations, and internal policies, generating reports on compliance activities and findings for senior management and the Board of Directors.
There are 2 other people on your team. You will report to the Chief Legal Officer as well as work closely with the Board of Directors and the Head of Wealth Management. You will have the ability to make an impact and leave a lasting legacy.
Fast forward a year, what will you be doing?
You have built out the Corporate Compliance business line. The roadmap has been developed and implemented. This includes the appropriate guardrails needed. It’s the fundamental building block to the success of the company. You’ve created a risk-based framework and mindset to work effectively with M’s business leaders in helping them reach their objectives. You understand the state and federal regulations they operate in. You have developed strong relationships with the Board of Directors as well as the other business line leaders. You have a solid partnership with the Wealth Solutions team including their Compliance leader. The privacy policy training has been developed. You own the entity licensing program. You have updated the anti-money laundering policy for the company. You have developed amicable relationships with the domestic regulators and are the liaison between our client and the regulators. You are the subject matter expert for Corporate Compliance. You are sought after and respected. You have developed this program and made a difference. You are the right hand to the Chief Legal Officer. You are happy.
How will you get there?
30 days:
Meet the leadership team as well as Head of Advisory Services team
Spend time with your direct reports as well as Chief Legal Officer
Meet with the Chief Security Officer as well as the data security team
Understand the requirements of privacy and anti-money laundering on how it relates to the organization and member firms
90 days:
Work with the trade associations such as ACLI, plug into those groups
Build relationship with VP, Government Relations
Build partnerships with carrier partners and life insurance companies such as Pacific Life, John Hancock, Symetra
Work closely with Head of Advisory Services & Wealth Solutions Compliance leader
6 months:
Develop the privacy policies
Training is developed
Provide compliance training to M employees
Provide relevant regulatory updates to member firms in collaboration with M Holdings Securities compliance team
Develop policies and individual certification process for employees and members of the Board of Directors
What you will need:
In-depth knowledge of relevant regulations such as SEC, FINRA and state life insurance regulations
Strong understanding of risk management principles and practices
Excellent analytical and problem-solving skills
Effective communication and interpersonal skills to collaborate with stakeholders at all levels including the Board of Directors
Detail-oriented with a strong focus on accuracy and quality
Experience with securities, life insurance and/or risk management industries
Relevant certification such as Certified Regulatory Compliance Manager (CRCM) or Certified Anti-Money Laundering Specialist (CAMS)
Our client is a community of leaders comprising the best and brightest minds in their industry. Their network of 140 Member Firms delivers expert advice and guidance to high-net-worth clients who need complex insurance and financial planning services. This includes life insurance, wealth planning
executive benefits, retirement services and investment management. By combining individuals’ expertise and skill, Our client has become a powerful force committed to advancing the interests of their industry, communities, and clients for over 40 years. M’s solutions are rooted in the diverse expertise of their team, their collaborative approach to innovation and comprehensive support.
They embrace a progressive, dynamic mindset for every role. Our client provides a professional community that actively supports individuals with diverse backgrounds and perspectives who come together to build and support best-in-class solutions.
Our client is an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.