Manager I, Business Best Practice
Core
Investigate and resolve non-compliance cases, develop compliance training programs, and update policies to ensure agency adherence to regulatory requirements and prevent misconduct.
Role type
Manager I, Business Best Practice (Compliance & Training)
Builds
Compliance training programs, policies, manuals, and awareness materials for insurance agencies
Domain
Insurance / Financial Services / Regulatory Compliance
Required skills
Regulatory compliance knowledge, training program development, data analysis for control perspective, policy writing, sales practice monitoring, social media governance, presentation deck creation, management reporting
Preferred skills
FLMI, CFP qualifications, knowledge of MCV business and market conduct
Technologies
Social media compliance and governance tools
Responsibilities
Investigate and resolve suspected non-compliance cases, develop and deliver compliance training, update compliance policies and procedures, prepare compliance reports, conduct routine thematic and field reviews, identify conduct risks and establish internal controls
Seniority
Manager, hands-on IC
