Job Description:

Our client, a global financial services company, is seeking a Deputy Chief Compliance Officer.  The position will have responsibility for oversight of multiple activities within the company’s Insurance Compliance team, including providing strategic direction within the Compliance function. In partnership with other senior leadership on the team, this position will serve as the primary proxy for the Chief Compliance Officer including providing day-to-day compliance support and advice to senior business partners/teams. The ideal candidate for this position is highly experienced with regulatory compliance requirements, risk-based workflow analysis, has a proven track record of successes in collaboration with business partners and developing a high performance team and can serve as a role model for change management. Experience with life and voluntary products and/or operations is a plus.



  • Manage a team of compliance professionals.
  • Drive and identify the Compliance Program components required for the company’s Insurance Compliance Program.
  • Provide primary day-to-day oversight to the Group Insurance Compliance team
  • Accountable for communicating and influencing business practices and initiatives, identifying and work flowing compliance policies and procedures, oversight and monitoring procedures for the business through the use of compliance metrics and other analytical data
  • Proactively drive and lead compliance related education, insight and training to business partners and clients.



  • 9-12 years of business experience in financial services. Prior CCO or senior leadership experience a plus.
  • Bachelors degree preferred, Masters/Advanced Degree a plus.
  • Strong talent leader with experience in development, coaching and motivating staff.
  • Proven collaboration competency with a willingness to partner with team members and other business associates at all levels.
  • Must be able to translate strategy into action with proven implementation skills and competency in leading execution.
  • Comfort with taking intelligent risks with the ability to make and advocate sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.
  • Broad working knowledge of the regulatory landscape for insurance and/or broker-dealer programs.
  • Strong analytical skills and ability to identify and research areas that may have more complex regulatory requirements and translate and educate for business application.
  • Must be self motivated, able to work independently and comfortable with ambiguity.
  • Excellent written and verbal communication skills.


Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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