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Aspida · 1 day ago

Broker Dealer Compliance Analyst

Durham, NC

Full-time

Hybrid

Senior Level

5+ years exp

Aspida is a tech-driven insurance carrier focused on providing secure retirement solutions. They are seeking a Broker Dealer Compliance Analyst who will act as a Subject Matter Expert in compliance matters, lead compliance conversations, and assist in developing training programs while ensuring adherence to regulatory requirements.

FinanceFinancial ServicesInsurance

Growth Opportunities

Responsibilities

Act as a Subject Matter Expert (SME) in compliance matters involving variable product & marketing content requirements with FINRA and state insurance departments

Lead conversations regarding compliance issues and proactively identify potential risks or areas for improvement

Monitor FINRA company governance requirements and inform senior management of changes to the company governance documents as the need arises

Work with business partners to solve complex compliance related questions and/or problems

Assist in the development of Compliance training programs for the organization

Collaborate with other team members to develop or enhance policies and procedures to capture workflow efficiencies

Monitor developments in the areas of AML, Fraud and consumer Complaints

Assist with the preparation of more complex non-financial regulatory filings in a timely manner; accurately review and prepare FINRA required filings, state regulatory reports and other regulatory filings

Respond to inquiries from regulatory authorities, data calls and complaints

Participate in internal audits, compliance reviews, and other activities to evaluate the effectiveness of organizational compliance controls

Draft and update compliance policies, procedures, and reporting mechanisms to ensure ongoing compliance with legal and regulatory requirements for all jurisdictions in which the company operates

Qualification

Compliance in financial servicesState regulatory requirementsFINRA requirementsProfessional Insurance DesignationSeries 67 registrationJiraConfluenceAttention to detailCritical thinkingWork independently

Required

Bachelor's Degree in Business, Risk Management or Insurance; or equivalent combination of education, training & experience

5 or more years of experience in a Compliance function in financial services or insurance, prior leadership experience a plus

Strong understanding of State regulatory requirements for fixed and variable annuity products, as well as SEC & FINRA requirements for registered products

Professional Insurance Designation or working towards a designation (one or more of the following: ACS, AIRC, FLMI, CAMS)

Series 6 or 7 registration or the ability to complete within 6 months of date of hire

Ability to work independently, manage multiple priorities, and take ownership of tasks and projects

Self-motivated with a strong attention to detail and a commitment to upholding the highest ethical standards

PC skills to include proficiency in Jira, Confluence, Microsoft Word, Excel and PowerPoint

Critical thinking ability to use logic, reasoning and problem solving to identify best practices, alternative solutions, conclusions or approaches to challenges

Proven experience in drafting and filing fixed and variable annuity contract forms with the Compact & State regulators

Prior experience with reviewing and analyzing multiple complex data sources and document data elements, data flow, relationships and dependencies

Benefits

Long-Term Incentive Plan

Full Benefits Package Available

Company

Aspida

We’re Aspida – a tech-leading, agile insurance company that provides life and annuity solutions with speed, simplicity, and security to enhance well-planned retirement and wealth management strategies.

Founded in 2015

Durham, North Carolina, USA

51-200 employees