Job Description:

Our client, a global banking and financial services company, is looking to hire a Senior Compliance Officer for their retailinvestment products and global insurance division.  The position is a critical senior role as individual contributor relative to investment products retailsales practice compliance matters, with a focus on insurance and mutual funds. The position requires extensive industry experience, detailed and practical knowledge of investment products, retail brokerage processes, procedures and regulatory rules.


  • Utilize expert analytical capabilities and seasoned decision making skills to lead, coordinate and manage compliance initiatives related to investment products for multiple lines of retail businesses, including global insurance offerings. Key areas include industry regulations, Compliance policy development and updates, operating system design, implementation and enhancements, and development of content for field continuing education.
  • Provide ongoing compliance advisory support regarding investment product sales practice matters to business, Legal and other Compliance areas, project management for compliance initiatives, provide advice and guidance relative to regulatory reviews and investigations.
  • Assist with continued development and implementation of Global Consumer Insurance compliance program, including enhanced controls for business activities, MIS and monitoring programs, standards and policies, and support of testing efforts.


  • Bachelor’s Degreerequired.
  • Minimum 7years (combined) investment product and retail brokerage compliance and/or supervisory experience, with a specific focus on insurance products and mutual funds.
  • Expert analytical capabilities and seasoned decision making skills.
  • Strong interpersonal and leadership skills.
  • Excellent written and oral communication skills.
  • Ability to work independently and manage complex initiatives.
  • Experience with global initiatives and engagement with global businesses and control partners a plus.

The position may also be in Dallas TX, Fort Mill SC or Tampa FL.

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

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