Director, Compliance

Revol One Financial; Urbandale (IA); Hybride; USD 120 000 - 180 000; Plein temps

Résumé du poste

Revol One Financial is seeking a Compliance Director to safeguard annuity product line compliance across the organization. The role involves strategic oversight, risk assessment, and collaboration with leadership, operations, and distribution partners to mitigate regulatory risk and drive a strong culture of compliance.

The ideal candidate brings regulatory expertise, sound judgment, excellent communication, and the ability to manage multiple projects in a fast-paced environment.

Qualifications

• Bachelor’s degree or equivalent combination of education and relevant work experience.
• Minimum of 3 years of annuity compliance experience or related regulatory/compliance experience within the insurance or financial services industry.
• Strong knowledge of annuity business operations and the laws and regulations governing annuity products.
• Experience researching and interpreting insurance regulations and regulatory guidance.
• Experience participating in regulatory examinations, audits, and compliance reviews.
• Experience reviewing and drafting compliance-related policies and procedures.
• Experience developing, implementing, and integrating compliance controls within business and operational processes.

Responsabilités

• Support a broad range of compliance functions as business priorities and regulatory requirements evolve.
• Become a trusted and respected partner with internal departments to provide guidance on compliance-related procedures, standards, processes, and requirements.
• Identify compliance risks and develop practical solutions to mitigate regulatory and litigation exposure.
• Recommend enhancements to internal controls, policies, and procedures to strengthen the company’s compliance framework.
• Assist in developing and implementing strategies to address regulatory and compliance changes affecting the organization.
• Draft, review, and maintain compliance-related policies and procedures.
• Monitor ongoing compliance activities and help resolve identified issues or gaps.
• Research, interpret, and apply laws, regulations, bulletins, and other requirements impacting annuity products and business operations.
• Maintain effective working relationships with regulators and auditors.
• Support regulatory examinations, audits, and compliance reviews, including coordinating responses and documentation.
• Participate in the analysis of new and emerging state and federal regulatory developments.
• Manage complex compliance projects and initiatives with minimal supervision.
• Occaisonal travel may be required.

Connaissances

Regulatory knowledge

Risk assessment

Communication skills

Independent work

Attention to detail

Analytical skills

Relationship building

Formation

Bachelor’s degree or equivalent combination of education and relevant work experience

Description du poste

Hybrid/Remote Position

Company Introduction

At Revol One Financial® we offer a unique and exciting opportunity be on the ground floor of a startup that will upend the industry by being a refreshingly straight forward insurance company. Do you like to make quick decisions? Influence projects and outcomes? Be empowered to make decisions? We work differently and foster a collaborative, fun, and casual culture where employees make a meaningful impact. As a Compliance Director of Revol One Financial, you will have the chance to mold & shape a critical area of Operations, work closely with leadership, work on numerous cross- function projects and wear multiple hats, all of which will be an excellent learning experience and provide opportunities for significant professional growth.

Our Core Values

• Lead with Trust & Integrity – We walk the talk. Living with integrity means our actions always match our words.
• Treat others with Respect & Humility – We value every individual. We respect and care for each fostering a supportive and empathetic workplace culture.
• Always be Genuine, Honest & Transparent – We know what we are and what we are not. We let honesty and transparency guide our decisions and actions, ensuring we stay true to who we are.
• Own Your Entrepreneurial Spirit – Everyone acts like an entrepreneur. We take initiative, own our actions, and drive innovation.
• Embrace Fun & Flexibility – Agility and positivity defines us. We embrace the fun in everything we do staying nimble and enthusiastic.
• We are One Revol One Financial – We Can, and we Will succeed together. We face challenges head on with determination and commitment, confident in our ability to succeed.

Compliance Director

Revol One Financial is seeking a highly motivated and experienced Compliance professional to support the compliance oversight of its annuity product line and related business operations. This role provides a unique opportunity to work across a broad range of compliance functions in a dynamic and evolving regulatory environment.

The ideal candidate is an experienced compliance professional who combines strong regulatory knowledge with sound judgment, exceptional communication skills, and a proactive approach to risk management. This individual will partner closely with business leaders, operational teams, and distribution partners to identify, assess, and mitigate compliance risks while helping the organization maintain a strong culture of compliance.

Success in this role requires the ability to think strategically while managing day-to-day compliance responsibilities, build effective relationships across the organization, and drive initiatives that support business growth while protecting the company from regulatory and litigation risk. The successful candidate will thrive in a fast-paced environment, demonstrate strong initiative, and be committed to making a meaningful impact on the organization.

Major Duties & Responsibilities

• Support a broad range of compliance functions as business priorities and regulatory requirements evolve.
• Become a trusted and respected partner with internal departments to provide guidance on compliance-related procedures, standards, processes, and requirements.
• Identify compliance risks and develop practical solutions to mitigate regulatory and litigation exposure.
• Recommend enhancements to internal controls, policies, and procedures to strengthen the company’s compliance framework.
• Assist in developing and implementing strategies to address regulatory and compliance changes affecting the organization.
• Draft, review, and maintain compliance-related policies and procedures.
• Monitor ongoing compliance activities and help resolve identified issues or gaps.
• Research, interpret, and apply laws, regulations, bulletins, and other requirements impacting annuity products and business operations.
• Maintain effective working relationships with regulators and auditors.
• Support regulatory examinations, audits, and compliance reviews, including coordinating responses and documentation.
• Participate in the analysis of new and emerging state and federal regulatory developments.
• Manage complex compliance projects and initiatives with minimal supervision.
• Occaisonal travel may be required.

Skills, Experience & Qualifications

• Support a broad range of compliance functions as business priorities and regulatory requirements evolve.
• Bachelor’s degree or equivalent combination of education and relevant work experience.
• Minimum of 3 years of annuity compliance experience or related regulatory/compliance experience within the insurance or financial services industry.
• Strong knowledge of annuity business operations and the laws and regulations governing annuity products.
• Experience researching and interpreting insurance regulations and regulatory guidance.
• Experience participating in regulatory examinations, audits, and compliance reviews.
• Experience reviewing and drafting compliance-related policies and procedures.
• Experience developing, implementing, and integrating compliance controls within business and operational processes.
• Strong analytical, organizational, and problem-solving capabilities.
• Ability to manage multiple priorities and deadlines in a fast-paced environment.
• Excellent verbal and written communication skills, with the ability to communicate effectively across all organizational levels.
• Strong interpersonal skills and the ability to build productive relationships with business partners, regulators, and other stakeholders.
• Sound professional judgment and a strong understanding of risk assessment and risk mitigation principles.
• Self-motivated, proactive, and capable of working independently with limited supervision.
• High attention to detail and commitment to accuracy.
• Adaptability and willingness to support changing business and regulatory priorities.
• Comfortable learning and utilizing new technologies, systems, and platforms.

Revol One Financial® is the marketing name for Revol One Insurance Company. Revol One Insurance Company is responsible for its own financial and contractual obligations. Revol One Insurance Company is not authorized to conduct business in the state of New York.