Vice President, Compliance

About the role

The Vice President, Compliance at Revol One Financial® is responsible for leading the company's compliance department and fostering a culture of ethics, accountability, and regulatory excellence. This leader will oversee compliance with applicable laws, regulations, and industry standards while serving as a trusted advisor to executive leadership.

Responsibilities

• Lead the development, implementation, and continuous enhancement of the company’s compliance program
• Ensure compliance with applicable laws and regulations
• Oversee compliance related to product development, distribution, sales practices, advertising, suitability, producer supervision, licensing, and other applicable issues
• Advisory executive leadership on emerging regulatory developments and compliance risks that may affect strategic initiatives
• Develop and maintain compliance policies, standards, procedures, and internal controls
• Lead regulatory examinations, audits, inquiries, and remediation efforts, if applicable
• Advise executive leadership on emerging regulatory developments and compliance risks that may affect strategic initiatives
• Partner with executive leadership to identify and mitigate compliance risks
• Oversee compliance monitoring, testing, and reporting activities
• Lead consumer complaint oversight and regulatory reporting processes
• Lead company compliance training
• Present compliance reports, risk assessments, and key metrics to executive leadership, as well as the Board of Directors or designated committees, as needed
• Build, mentor, and develop a high-performing annuity compliance team
• Promote a culture of integrity, transparency, and ethical decision-making throughout the organization

Qualifications

• Bachelor's degree required
• 5+ years of compliance experience within the annuity industry required
• Extensive knowledge of annuity products and insurance regulatory requirements required
• Knowledge of supplemental insurance and life insurance products preferred
• Experience interacting with state insurance regulators and managing regulatory examinations
• Strong understanding of compliance risk management frameworks and governance practices
• Excellent communication, presentation, and leadership skills