Compliance Manager, Retail Distribution

Talcott Financial Group; Hartford (CT); Hybrid; USD 120,000 - 165,000; Full time

Job summary

Talcott Financial Group in Hartford, CT or Charlotte, NC, offers a role as Retail Distribution Compliance Manager. You will translate regulatory requirements into controls for fixed annuities and other products, guiding marketing and sales activities while ensuring policy adherence in a hybrid work setting.

Ideal candidates have 4+ years in compliance, strong NAIC knowledge, excellent communication, and the ability to influence senior leaders and cross-functional partners.

Qualifications

• Minimum of 4 years of compliance experience.
• Bachelor’s Degree in business or equivalent.
• Strong knowledge of NAIC Model Regulations and other applicable insurance rules.
• Excellent verbal and written communication.
• Ability to translate business needs into technical requirements.

Responsibilities

• Shape compliance and suitability analyses for insurance products.
• Lead cross-functional initiatives and present to senior management.
• Develop compliance recommendations for issues.
• Provide ongoing compliance advice to partners.
• Support compliance programs as needed.

Skills

Regulatory knowledge

Analytical thinking

Communication skills

Stakeholder management

Decision making

Education

Bachelor's Degree in business or equivalent

Tools

MS Office

Regulatory reporting tools

Job description

Talcott Financial Group* is an international life insurance group and the industry’s trusted partner for comprehensive risk solutions. Talcott creatively designs and expertly delivers responsive solutions that transfer risk and manage capital in a way that supports the strategic needs of insurers today and into the future.

Talcott Financial Group has a proven track record of well-executed transactions, and the enterprise benefits from its strong financial position with over $130 billion in assets under management, its investment-grade financial strength ratings, and its partnership with Sixth Street, a leading global investment firm.

Talcott Financial Group’s two core business platforms include: U.S. based Talcott Resolution and Bermuda and Cayman based Talcott Re.

Overview

The Retail Distribution Compliance Manager is a key contributor within the organization, serving as an advisor to business leaders and key partners. This role is accountable for translating business strategy into technology-enabled solutions, driving alignment across stakeholders, and ensuring delivery of initiatives that generate measurable business value. This role serves as a regulatory compliance professional with responsibility for performing compliance and suitability analysis and providing regulatory guidance for fixed annuities, fixed indexed annuities, and other insurance-related investment products. The position also supports the review and oversight of related marketing, advertising, and sales activities to ensure compliance with applicable laws, regulations, and company policies.

The selected candidate will work independently supporting cross-functional efforts to influence decision-making and ensure adherence to enterprise standards. The selected candidate will be based in either our Hartford, CT or Charlotte, NC office and will follow a hybrid work schedule. Remote work arrangements may be considered for an exceptional candidate.

Responsibilities

• Apply a broad range of theories and principles in the planning, organization and integration of Compliance and Suitability work
• Lead project initiatives that span significant portion of business and assess recommendations for review by senior management
• Takes the lead to identify, assess and develop compliance recommendations for issues
• Provides compliance advice and counsel as needed
• Support compliance processes, programs or initiatives ad hoc

Qualifications

• Minimum of 4 years of compliance experience
• Bachelor’s Degree in business or equivalent work experience
• Solid understanding of business operations and of the related legislative, regulatory, and in-house company policy requirements associated with them
• Demonstrated strategic thinking and problem-solving skills
• Strong knowledge of NAIC Model Regulations and other applicable federal and state insurance regulations
• Excellent verbal and written communication
• Strong proficiency with MS Office tools for analysis and reporting
• Experience with stakeholder management in a matrixed business environment
• Ability to translate business needs into technical requirements
• Analytical mindset with attention to detail
• Ability to effectively collaborate and build productive cross-functional partnerships
• Sound ethical and legal judgment with the capacity to effectively negotiate with business partners
• Ability to work independently and/or collaborate with cross-functional team members
• Demonstrated business savvy with a strategic focus for problem solving
• Effective communicator with outstanding interpersonal and organizational skills
• Ability to establish and maintain productive business relationships across the organization
• A self-starter with strong organizational and project management skills
• Ability to handle a high volume of matters while balancing competing demands
• Willingness to take initiative, lead projects and drive projects to through to completion

Compensation

This range represents the minimum and maximum annual base salary we reasonably expect to pay for this role at the time of posting. The actual base pay could vary and may be above or below the listed range. The base pay is based on factors including but not limited to experience, competence, and demonstration of proficiencies essential for the role. The base pay is just one component of Talcott’s total annual compensation for employees. Other compensation may include annual bonuses, long-term incentives and recognition.

• This role is not eligible for visa sponsorship. Applicants must be authorized to work in the United States on a full-time basis without current or future visa sponsorship.
• Talcott Financial Group is an equal employment employer. All qualified applicants will receive consideration without regard to race, color, sex, religion, age, national origin, disability, veteran status, sexual orientation, gender identity or expression, marital status, ancestry or citizenship status, genetic information, pregnancy status or any other characteristic protected by law. Talcott Resolution maintains a drug‑free workplace. For more information regarding our Privacy Policy, please go to https://talcott.com/onlineprivacypolicy/onlineprivacypolicy.html