State Licensed Compliance Director
Company: VirtualVocations
Location: Vista
Posted on: May 13, 2025
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Job Description:
A company is looking for an Associate Director, Compliance.
Key Responsibilities
Review annuity and life insurance marketing materials for
compliance with relevant regulations
Develop and maintain written supervisory procedures and training
materials for the broker-dealer
Coordinate regulatory filings and assist with compliance program
testing and regulatory exams
Required Qualifications
Bachelor's degree
FINRA Series 6 & 26 required
Minimum 8+ years of financial services experience
In-depth knowledge of insurance laws and SEC regulations related to
life and annuity business
Keywords: VirtualVocations, Los Angeles , State Licensed Compliance Director, Executive , Vista, California
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