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Compliance Consultant

Company: Sammons Financial
Location: West Des Moines
Posted on: November 14, 2022

Job Description:

Sammons Financial Group Companies offers some of today's most sought after life insurance, annuity, retirement planning products and portfolio-management solutions. Unlike most financial organizations, our companies are not publicly traded, which means we're focused on long-term value rather than short-term earnings pressures. As a privately held company, our leaders and employees remain consistently focused on long-term growth, making decisions that allow us to deliver on our commitments to customers, distribution partners, our employees, and our communities. Individually, our companies provide value in the products and services they offer. Together we represent a history of strength and longevity.

* What you can expect when you join Sammons:
* A rich company culture driven by private ownership and intentional leadership inspiring employees to engage in our healthy, high-performing and values based culture
* A healthy balance between work and personal life to do your best work. Workplace flexibility options may be available.
* Friday afternoons off, competitive Paid Time Off, volunteer time off and a generous number of paid holidays!
* Great benefits including medical, dental, vision, wellness, charitable giving programs, education assistance to name a few!
* A generous, 100% company funded, Employee Stock Ownership Retirement Plan!
* A casual dress code, including jeans!



What you can expect as a Compliance Consultant:

Responsible for performing detailed research and review of regulatory requirements and addressing changes for the industry as required. This may include reviewing, investigating, and responding to regulatory and client initiated complaints, performing agent investigations and/or ensuring advertising compliance with fixed, indexed and variable life and annuities. Responsible for incoming and outbound communications, both verbal and written, with clients, agents, third parties, and employees in other departments. Accountable for small to medium scope Compliance initiatives that involve single or small number of business functions. Accountable for compliance work involving a medium level of business risk. Required activities may also include reviewing advertising and sales literature to ensure compliance with corporate guidelines as well as state laws and regulations for both consumer and agent use only ads.

What we are looking for:

* Bachelor's Degree business or related field preferred or equivalent business experience preferred
* Juris Doctorate degree preferred
* 3-4 years' relevant compliance, internal audit or other equivalent experience preferred
* Working knowledge of life and annuity products, with specific knowledge of insurance company operations
* Ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials
* Excellent interpersonal and customer service skills
* Strong analytical solving skills, including the ability to accumulate, organize, and assimilate large amounts of information
* Excellent attention to detail and accuracy; including proofreading skills
* Ability to manage multiple tasks simultaneously and manage competing priorities
* Ability to work independently and be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions
* Organizational skills
* Demonstrate professionalism and an aptitude for problem resolution
* Advanced computer skills, including Microsoft Word and Excel and Adobe Acrobat
* Excellent written and verbal communication skills
* Excellent interpersonal and customer service skills
* Criminal background check required.
* Due to the financial nature and level of accountability of this position, a credit and criminal background check is required - The Fair Credit Reporting Act requires Sammons Financial Group Companies to notify you that, as a routine part of processing this application for employment, Sammons Financial Group may request a consumer report on you to verify all information contained in this application. Such report may include information about work-related behaviors, performance, character, general reputation, and personal characteristics, in addition to information about your previous employment, education, credit history and criminal records

Keywords: Sammons Financial, West Des Moines , Compliance Consultant, Other , West Des Moines, Iowa

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