Job Description

Sr. Compliance Consultant- Broker-Dealer Join to apply for the Sr. Compliance Consultant- Broker-Dealer role at Sammons Financial Group Companies Sr. Compliance Consultant- Broker-Dealer Join to apply for the Sr. Compliance Consultant- Broker-Dealer role at Sammons Financial Group Companies Get AI-powered advice on this job and more exclusive features. What You Can Expect In This Role We are seeking a knowledgeable and detail-oriented Sr. Compliance Consultant- Broker-Dealer to join the securities compliance team for our wholesaler broker-dealer (“Sammons Financial Network” or “SFN”). The Sr. Compliance Consultant- Broker-Dealer will assist SFN’s efforts to comply with regulatory requirements, internal policies and procedures, and industry best practices. The ideal candidate will have a strong understanding of securities laws & rules, as well as experience with both setting compliance policies and testing for adherence to them. What You Can Expect In This Role We are seeking a knowledgeable and detail-oriented Sr. Compliance Consultant- Broker-Dealer to join the securities compliance team for our wholesaler broker-dealer (“Sammons Financial Network” or “SFN”). The Sr. Compliance Consultant- Broker-Dealer will assist SFN’s efforts to comply with regulatory requirements, internal policies and procedures, and industry best practices. The ideal candidate will have a strong understanding of securities laws & rules, as well as experience with both setting compliance policies and testing for adherence to them. What You'll Do In This Role Oversee compliance-related actives within the broker dealer; ensure that registered persons follow firm policies and procedures. Conduct internal investigations to address potential violations or non-compliance issues. Provide training and guidance to registered persons regarding compliance policies, regulations and industry best standards. Serve as a liaison between regulatory agencies, external auditors and internal stakeholders related to compliance matters. Assist with periodic inspections performed on SFN’s office of supervisory jurisdiction (OSJ), residential supervisory locations (RSLs) and other non-branch remote offices Support the review of advertising submissions, file certain advertisement items with Financial Industry Regulatory Authority (FINRA), on as basis; track comments and implementation. Review reports, including exception reports, used by business unit as controls to help ensure compliance with applicable rules and regulations. Review and monitor electronic communications across the organization. Review of entrainment and sponsorship reports. Commitment to embrace Sammons Financial Group Companies shared values (Accountability, Connection, Openness, Respect and Integrity). Assist with reviews new products and changes to existing products What We're Looking For Bachelor's Degree in Business Management Preferred 7-10 years' experience compliance and variable products in an insurance environment Preferred Solid knowledge of variable life and annuity products and insurance company operations Solid knowledge of securities regulations (i.e. state, federal and FINRA) impacting variable life and annuity products Working knowledge of model insurance laws and associated model regulations Attention to detail: Demonstrates a high level of accuracy and thoroughness in reviewing, interpreting, and applying regulatory requirements. Consistently identifies potential compliance gaps, inconsistencies, and errors in documentation, communications, and reporting. Ensures policies, procedures, and disclosures meet applicable legal and regulatory standards. Maintains precision in recordkeeping and tracking obligations, recognizing that minor oversights can have significant regulatory implications. Excellent communication skills, both written and oral, and have the ability to work with different personality types (i.e. regulators, registered representatives heads of the business units, etc.) when communicating requirements, revisions and approvals/rejections Proven ability to coordinate the compliance function with related activities of other areas of the organization and serve as a consultant for compliance issues relating to specified areas of responsibility Possess good project management skills and is able to work independent of supervision to ensure that the variable product advertising review process runs smoothly day-to-day Ability to utilize PC administrative tools (i.e. Microsoft Office Suite: Word, Excel and Access) Understanding of the federal and state rules governing communications with the public Proficient understanding of the electronic filing system used by FINRA for submission of advertising reviews Understanding of the requirements under Securities and Exchange Commission (SEC) Rule 38a-1 as it applies to insurance company’s registered separate accounts Demonstrated ability to understand intricate rules and regulations and communicate them to different audiences Detailed-oriented, with solid organizational abilities Ability to be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions Exhibit ability to build and maintain ongoing key relationships with regulatory personnel as well as industry contacts and business partners Strong work ethic Series License-6 and Series License-26 Or Series License-7 and Series License-24 or ability to obtain within 120 Days Required Some travel to company offices and conferences annually required. Other Requirements Criminal background check required. If the position is in the SIG business unit, Annuity New Business Securities team, or if we are holding securities licenses, FINRA regulations require fingerprinting for this position; if we are holding securities licenses, a credit check will also be required. Management reserves the right to determine and approve incumbent suitability for this position. What you can expect when you join Sammons Financial Group Sammons Financial Group offers a competitive benefit package that includes: Health, Dental, Vision, Company Paid Retirement, PTO and Holiday Pay. Our Employee Stock Ownership Plan (ESOP) is a 100% company-funded retirement plan, so you can save for retirement without contributing a penny of your own paycheck. Healthy balance between work and personal lives. Friday afternoons off all year long, competitive PTO, and generous number of paid holidays. Our incentive program for defined goals subject to eligibility and performance. Monetary rewards are based on individual and/or overall company performance. Colleagues who support one another, model our core values, and drive our healthy, high-performing culture. Salary Range Information USD $60,119.00 - USD $125,247.00 /Yr. Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience. For a narrower salary range specific to your labor market, please inquire. Work Authorization/Sponsorship At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.) Seniority level Seniority level Not Applicable Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Sammons Financial Group Companies by 2x Get notified about new Senior Compliance Consultant jobs in West Des Moines, IA . West Des Moines, IA $112,713.00-$234,819.00 1 day ago MIDWEST REGIONAL SAFETY AND COMPLIANCE MANAGER Des Moines, IA $74,000.00-$118,000.00 4 hours ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Sammons Financial Group Companies

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