A major diversified financial services firm seeks Chief Compliance Officer for one of their major divisions. The Chief Compliance Officer will have responsibility for providing compliance oversight and strategic direction to the Group Insurance business. The ideal candidate for this position is highly experienced in group life, disability, and group corporate, bank and trust-owned life insurance programs for use with employee plans. This person would also be responsible for providing compliance oversight for plan administration in connection with our Group Insurance products and has a proven track record of success in collaboration with senior business leaders, developing high performing teams and can serve as a role model for change management.

Principal Responsibilities

  • Drive and identify the Compliance Program components required for the program.
  • Provide primary day-to-day oversight to the Group Insurance Compliance team
  • Accountable for communicating and influencing business practices and initiatives, identifying and workflowing compliance policies and procedures, oversight and monitoring procedures for the business using compliance metrics and other analytical data.
  • Proactively drive and lead compliance related education, insight and training to business partners and clients.


  • 9-12 years of business experience in financial services. Prior CCO or senior leadership experience a plus.
  • Bachelor’s degree required, Master’s/Advanced Degree a plus.
  • Strong talent leader with experience in development, coaching and motivating staff.
  • Proven collaboration competency with a willingness to partner with team members and other business associates at all levels.
  • Must be able to translate strategy into action with proven implementation skills and competency in leading execution.
  • Comfort with taking intelligent risks with the ability to make and advocate sound judgment recommendations and provide advice grounded in consumer advocacy, practical application of regulatory requirements and sound business practices.
  • Broad working knowledge of the regulatory landscape for insurance and/or broker-dealer programs, including retail banking markets.
  • Strong analytical skills and ability to identify and research areas that may have more complex regulatory requirements and translate and educate for business application.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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