Compliance Officer 90-110K

Scottsdale, Arizona

Principal Duties and Responsibilities

Annexus Compliance Officer, working under the direction of the Chief Compliance Officer, you will be responsible for compliance analysis, programs, initiatives, policies and procedures for all product lines offered in order to meet business objectives and profitability goals. 

  • Keep up to date on federal, state and SRO regulations and evaluate potential impact to business.
  • Advise the CCO regarding risk levels and recommend updates as regulations change.
  • Responsible for updating applicable written policies and procedures consistent with new regulations or activities.
  • Maintain and update the monitoring, testing and surveillance program (Basis Code Compliance).
  • Responsible for the review of electronic communication surveillance activity.
  • Assist with monitoring, filing and amending FINRA registrations, state insurance licensing and continuing education requirements.
  • Assist in development and implementation of the firm’s a continuing education plan to complete compliance training for the firm.
  • Reinforce compliance objectives and help lead compliance activity, communication, and monitoring.
  • Review and approve Sales Material and Advertising.

Job Requirements

  • Bachelors' Degree; Juris Doctor a plus.
  • Series 7 license that is currently active.
  • Must obtain Series 24 and 63 within 6 months of hire.
  • Insurance license is preferred.
  • Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities and life insurance compliance experience.
  • Excellent project management and process improvement skills.
  • Strong communication, presentation, and analytical skills.
  • Ability to influence change.
  • Well organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Ability to work independently and communicate results.
  • Proficient working with Excel, Acrobat, Access, Outlook and PowerPoint

 

 

All applicants are required to take a PI Survey. All employees are subject to a background check prior to hire.

We offer a competitive compensation and benefits package to include medical, dental, life, flexible spending and 401(K). Compensation based on Experience.

Annexus Management Company is an equal opportunity employer and does not discriminate based on race, color, religion, creed, national origin, sex, age, gender, marital status, disability, citizenship, veteran status or any other characteristic protected under law.

Annexus designs solutions to help Americans grow and protect their retirement savings. For over a decade, Annexus has developed market-leading fixed indexed annuities and indexed universal life insurance products. In close collaboration with design partner Genesis Financial, Annexus has forged partnerships with Athene, Nationwide and Securian, Barclays and Merrill Lynch. Find out more about Annexus and our products at www.annexus.com.

 

 

 

 

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