Compliance LOB Senior Advisor assessing regulatory risk for AUB Lines of Business. Advising on compliance risks and consulting with business units for effective controls in Richmond, VA.
About the role
- Director of Sales Supervision leading compliance for a captive life insurance sales channel. Responsible for audit frameworks and risk assessments involving 2000+ agents and managers.
Responsibilities
- Lead the oversight function for a fully captive life insurance sales channel of over 2000 agents and managers.
- Establish and execute a comprehensive, risk-based audit and monitoring framework.
- Lead sales conduct risk assessments to identify high-risk activities, control gaps, and emerging misconduct risks.
- Analyze sales activity, complaints, cancellations, suitability indicators, and anomalies to proactively identify conduct risk.
- Present monitoring and audit results to senior leadership and governance forums.
Requirements
- Bachelor’s degree required; advanced degree preferred.
- 8+ years of audit, risk, compliance, or sales supervision experience in insurance or financial services.
- Knowledge of insurance regulations and understanding of supervisory expectations for sales practices.
- Experience building data-driven monitoring programs strongly preferred.
- Ability to create dashboards using PowerBI preferred.
Benefits
- Health insurance
- 401(k) matching
- Paid time off
- Hybrid work flexibility
- Annual discretionary bonus
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