Assistant Director, Separate Accounts & Regulatory Compliance

Job description

The Assistant Director, Separate Accounts & Regulatory Compliance is responsible for assisting in managing both the compliance programs for the company's SEC ‑ registered separate accounts supporting variable annuity and variable life insurance products and non-registered annuity and insurance products. This role helps ensure compliance with Rule 38a ‑ 1 under the Investment Company Act of 1940, the Securities Exchange Act of 1934, and all applicable federal and state insurance and securities regulatory requirements. The Assistant Director will help oversee compliance monitoring, testing, governance, reporting and coordination with internal and external stakeholders, including service providers, auditors, and regulators. Your role and impact: Here's a glimpse of your responsibilities and the meaningful impact you'll create as the Assistant Director, Separate Accounts & Regulatory Compliance: - Assist in administering and performing the 38a ‑ 1 compliance program for the company's registered Separate Accounts. - Assist in maintaining the compliance policies and procedures for Separate Accounts to ensure continual effectiveness and alignment with regulatory expectations. - Assist and...