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About the role
We are seeking a highly experienced and strategic compliance leader to serve as Director, Innovative Financial Group (IFG) Sales Compliance. This role is responsible for leading the development, implementation, and oversight of sales compliance programs that ensure adherence to federal and state regulations while supporting business growth and operational excellence.
What they're looking for
- Lead IFG's sales compliance strategy and governance programs
- Provide leadership and oversight for compliance teams responsible for agent and agency monitoring, auditing, and regulatory adherence
- Serve as a primary liaison between IFG, carrier partners, and regulatory agencies
- Develop and maintain policies, procedures, and controls that support compliant sales operations
- Lead compliance investigations and direct corrective action plans when issues are identified
- Escalate emerging compliance concerns internally and externally as appropriate
More about this role
We are seeking a highly experienced and strategic compliance leader to serve as Director, Innovative Financial Group (IFG) Sales Compliance. This role is responsible for leading the development, implementation, and oversight of sales compliance programs that ensure adherence to federal and state regulations while supporting business growth and operational excellence.
The Director will oversee teams responsible for agent and agency compliance oversight, ensuring sales practices align with regulatory requirements, carrier expectations, and organizational standards. This leader will partner closely with executive leadership, operations, legal, carrier partners, and regulatory agencies to proactively identify risks, strengthen compliance programs, and promote ethical sales practices throughout the organization.
Key Responsibilities
Compliance Leadership & Governance
- Lead IFG's sales compliance strategy and governance programs
- Provide leadership and oversight for compliance teams responsible for agent and agency monitoring, auditing, and regulatory adherence.
- Serve as a primary liaison between IFG, carrier partners, and regulatory agencies.
- Develop and maintain policies,...
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