Compliance Director

This is a fully remote position, open to applicants in Massachusetts.

📋 Description

• Oversee the design, execution, and management of the compliance framework for the direct-to-consumer annuity platform.

• Ensure compliance with relevant state insurance regulations, NAIC model guidelines, FINRA/SEC obligations, advertising standards, privacy laws, electronic delivery protocols, and consumer protection requirements.

• Collaborate with Product, Operations, Marketing, Engineering, Design, and Technology teams to evaluate and approve digital customer journeys, marketing materials, disclosures, online applications, and sales processes.

• Act as the compliance lead for new product development projects.

• Provide guidance to cross-functional stakeholders regarding product design, features, disclosures, distribution strategies, and implementation.

• Create scalable review workflows, checklists, and self-service tools.

• Manage regulatory change by identifying new laws, regulations, and industry guidance, evaluating business impacts, and ensuring timely implementation.

• Create and deliver compliance training throughout the Gainbridge organization.

• Contribute to the overall Group 1001 Life and Annuity compliance program and disseminate best practices across the enterprise.

⛳️ Requirements

• A minimum of 7 years of progressive compliance experience within the life and annuity sector, particularly in direct-to-consumer or digital distribution.

• A Bachelor’s degree is required.

• Comprehensive knowledge of fixed and fixed index annuities, including state insurance laws, NAIC model regulations, advertising standards, consumer protection mandates, and electronic delivery requirements.

• Proven experience in providing strategic compliance guidance for product development, digital distribution, and direct-to-consumer sales models within the life and annuity sector.

• Extensive background in reviewing marketing and advertising for annuity products across digital, print, social media, and additional distribution channels.

• Strong collaboration and influencing abilities across product, operations, technology, marketing, and leadership teams.

• Exceptional analytical, communication, and problem-solving capabilities.

• Proficient in translating complex regulatory requirements into practical, risk-based guidance and actionable business solutions.

• Comfortable developing processes and tools where none currently exist.

• Able to navigate ambiguity and operate with agility in a startup-like environment within an established insurance organization.

• Previous experience in supporting a direct-to-consumer fintech or insurtech platform.

• Familiarity with digital marketing compliance tools, review workflow platforms, or content management systems.

• Knowledge of SEC/FINRA advertising guidelines.

• Possession of Series 6, 7, 24, or 26 registrations, or willingness to obtain them.

• Experience leading regulatory examinations, market conduct investigations, audits, or responding to regulatory inquiries.

🏝️ Benefits

• Comprehensive health insurance plan options.

• Dental insurance plan options.

• Vision insurance plan options.

• Basic and Supplemental Life Insurance.

• Short- and Long-Term Disability.

• Employee Assistance Program.

• Wellness programs.

• 401K plan with matching contributions from the Company.