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Director Of Compliance, Securities Registration

Baltimore, MD
Full Time
Practice Areas: Insurance, Securities Exp.: 8+ Years
Assist Compliance Officer, Business Unit General Counsel or Assistant General Counsel in ensuring, maintaining and monitoring the division's' compliance with applicable federal and state legal requirements, regulations and the rules of self-regulatory and industry ethical standards organizations and Company/Division Compliance Policies.

  • Manages SEC filing team; responsible for maintaining variable product prospectuses and registration statements.
  • Manages one or more of the division's Compliance functions (e.g. suitability, advertising, complaints, fraud) in one or multiple locations with minimal supervision.
  • Assist the Compliance Officer and/or appropriate Operational Risk Management in assessing the division’s Compliance risks and prepare such reports to division and Corporate management as may be appropriate concerning such risks.
  • Directs and assigns projects and provides guidance to Senior Managers, Managers and other Compliance staff, as appropriate, to improve the efficiency of the department and of the division's Compliance procedures.
  • Develops and/or manages departmental budgets for the division's Compliance operations.
  • Manages highly complex Compliance matters with minimal supervision.
  • Develops, maintains and updates Compliance policies and procedures for multiple functions and/or locations.
  • Recommends corrective action or revisions to the divisions' policies and procedures based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations and/or industry trends as appropriate.
  • Works with multiple functions, units or locations of the division/business unit to develop cost-effective and common solutions to achieve regulatory compliance on a division-wide basis.
  • Represents the company on industry committees regarding various regulatory issues.
  • Assist in evaluating overall Compliance Risk factors.
  • Assists the legal department with regulatory examinations, corporate audits, and Internal audits.

  • Bachelor’s degree required.
  • Appropriate FINRA securities and/or state life insurance licenses may be required, as appropriate.
  • 8 or more years of insurance and/or securities experience required, with at least 1 year of experience in compliance or internal audit functions at a supervisory or management level.
  • Preferred Qualifications
  • Law degree, Paralegal or Legal Assistant degree is a plus.
  • Excellent oral and written communication skills.
  • Strong project management skills.
  • Excellent interpersonal skills.
  • Provide leadership in achieving project goals.
  • Advanced understanding of the insurance and/or securities laws and the impact on company operations.

Working Conditions
Normal office environment utilizing Microsoft office products.

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