Senior Compliance Specialist - Des Moines IA

Des Moines, Iowa
$65-75k plus benefits pkg
Oct 03, 2016
Nov 10, 2016
Job Type
Full Time

This is a newly created role for a well-established insurance company with deep roots in the Midwest. The organization has a culture that puts clients and employees first, focuses on providing career advancement, and prides itself on staying ahead of all industry trends. In this role you will assist in the development, implementation, and on-going monitoring of a due diligence program for all distribution partners. To be successful you must be familiar with Department of Labor (DOL) Conflicts of Interest regulations.

What Experience Suits This Role?

  • Insurance industry specific education experience (i.e. LOMA, American College designations and/or Series 6, 26).
  • Audit or operational risk experience in the financial services industry, preferably with a Registered Investment Advisor (RIA) or a broker/dealer.
  • Ability to interact with all levels of stakeholder within the organization.