COMPANY CONFIDENTIAL
Title: Director, Compliance
Job Status: Full-time, Exempt
Manager Report Level: General Counsel
Location of Role: Austin, TX (on-site)
Established organization in the highly regulated financial services industry has rapidly growing new business line and is seeking an experienced compliance professional to develop and support a robust compliance program. This position will be pivotal in ensuring adherence to federal and state regulations across our domestic and international product and service lines. This organization is looking for a leader with a proven track record and can demonstrate compliance program development in a growing corporate environment.
Key Responsibilities:
Program Development and Implementation:
- Develop and implement regulatory and compliance initiatives to support the company’s strategic objectives.
- Lead and manage the company’s compliance training program, ensuring comprehensive training for new hires and continuous training for all employees and leaders.
- Provide day-to-day compliance guidance and support to the organization.
Regulatory Compliance:
- Ensure compliance with federal and state regulations applicable to financial institutions, including Bank Secrecy Act and privacy laws.
- Stay informed on new regulatory requirements and communicate best practices and updates to relevant staff.
Collaboration and Investigation:
- Collaborate with business leaders to address regulatory examinations and data requests.
- Conduct internal investigations in response to potential compliance violations and oversee appropriate corrective actions.
Requirements:
- Bachelor’s Degree is required.
- 5+ years of legal or compliance experience in financial services industry plus prior management of compliance function required.
- Extensive knowledge of insurance products, distribution channels, and industry regulations. Ability to apply knowledge to meet business goals and objectives.
Skills and Competencies:
- Experience in developing, monitoring, and enforcing appropriate compliance policies and procedures.
- Must have a comprehensive knowledge of insurance industry regulations, particularly NAIC model regulations, procedures, and best practices.
- Excellent written and verbal communication skills with demonstrated ability to think analytically and strategically to identify and solve problems, implement solutions, and advance business initiatives.
- Exceptional organizational skills with the ability to prioritize and manage multiple tasks.
- Ability to effectively communicate and escalate issues to management when needed.
- Proficiency in Microsoft Office products including Outlook, Word, Excel, and PowerPoint.
Total Rewards:
This role offers a comprehensive benefits package including medical, dental, vision, short-term and long-term disability, AD&D, group term life insurance, Employee Assistance Program (EAP), and a matching 401k plan. We also provide generous Paid Time Off (PTO) and holidays.
Location and Travel:
This position is based onsite in Austin, TX with potential travel requirements (minimal < 10%).
Equal Opportunity Employer:
We are an equal opportunity employer and do not discriminate on the basis of race, color, religion, sex, gender identity, national origin, age, disability, or veteran status. We are dedicated to fostering a diverse and inclusive workplace where every individual is valued. All qualified applicants are encouraged to apply.
Job Type: Full-time
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
Schedule:
Education:
Experience:
- Compliance management: 5 years (Required)
- Legal: 5 years (Preferred)
- Internal Investigations: 1 year (Required)
Ability to Relocate:
- Austin, TX 78759: Relocate before starting work (Required)
Work Location: In person