Consultant , Compliance; Hybrid

Job Purpose

This position is responsible for delivering high quality compliance services to clients. Services include research, analysis, and training/education on compliance issues in order to meet our business objectives. This role is also responsible for collaborating, educating, and advising our business partners on risk identification and mitigation strategies.

• Compliance Consultants on the Distribution and Insurance Sales Compliance Oversight (DISCO) team focus on oversight of insurance distribution and sales practices, including monitoring and assessing the conduct of agents, agencies, and third‑party distribution partners, including transaction monitoring, complaint trending, investigations, partner due diligence, and escalation management tied directly to how products are sold. They support governance processes, coordinate cross‑functional decision‑making, and ensure consistent execution of licensing, training, and sales conduct requirements across distribution channels.
• Annuities Compliance Consultants serve as specialized product and regulatory experts focused on annuity suitability, sales practices, and product lifecycle compliance. Their core responsibilities center on interpreting and implementing evolving annuity regulations (particularly NAIC suitability and best interest standards), conducting pre‑issue suitability reviews of complex or escalated applications, supporting training and disclosure requirements, and advising business partners on compliant sales, issuance, and administration processes.
  
  They also perform data‑driven monitoring, complaint support, and regulatory reporting, while partnering closely with product, operations, and sales teams to ensure annuity products and processes meet regulatory expectations.

• Requires in-depth knowledge and experience.
• Acts as a resource for colleagues with less experience; may lead small projects with manageable risks and resource requirements.
• Uses best practices and knowledge of internal or external business issues to improve products or services.
• Solves complex problems; takes a new perspective using existing solutions and approaches changes with flexibility.
• Works independently, receives minimal guidance.
• Proactively assess and monitor programs, processes and initiatives as they relate to ethics/compliance. Actively identify risks to the business, products, work and associates.
• Perform complex compliance reviews, enterprise assessments and policy/procedure reviews to ensure clarity, applicability and compliance with applicable law.
• Provide technical analysis of existing and pending legislative activities.
• Review service products, marketing materials and business processes for compliance.
• Provides strategic direction in the preparation of regulatory filings and/or forms in order to meet business needs and comply with the substance and language requirements of regulatory authorities in all states.
• Develop and implement training/education programs.

The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time.

• Bachelor’s degree in Business, Insurance or related field or equivalent related experience.
• 5+ years of experience in insurance, business or government regulations/compliance or equivalent work experience.
• Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products and marketing.
• Demonstrated organization and project management skills.
• Ability to work with limited direction, set priorities and manage deadlines.
• Ability to work in a team environment.

$83,100.00 - $

At Tru Stage, we believe a sound, inclusive benefits program is of vital importance, along with a flexible workplace that allows for work‑life balance, career growth and retirement assistance. In addition to your base pay, your position may be eligible for an annual incentive (bonus) plan. Additional benefits available to eligible employees include medical, dental, vision, employee assistance program, life insurance, disability plans, parental leave, paid time off, 401(k), and tuition reimbursement, among others.

Beyond pay and benefits, we also recognize that flexibility, including working in a place you prefer, is essential to caring for our employees. We will continue to strive to offer flexibility and invest in technology and other tools that will make hybrid working normal rather than an exception, so that when “life happens,” you can focus on what’s most important.

Tru Stage is a place where everyone can bring their best self and thrive. If you need application or interview process accommodations, please contact the accessibility department.