OverviewOceanview Life and Annuity Company is seeking a detail-oriented and analytical Associate, Compliance to support the continued growth and integrity of our business. In this role, you will work closely with the Chief Compliance Officer (CCO), Operations leadership, and cross-functional teams to help strengthen and execute key compliance and operational controls across the organization.
This position offers a unique opportunity to gain broad exposure to the annuity business while contributing directly to high-impact initiatives involving suitability review, regulatory compliance, operational oversight, anti-fraud efforts, marketing material review, and risk management. The ideal candidate is curious, collaborative, highly organized, and eager to make a meaningful impact within a fast-growing organization.
You'll have regular interaction with senior leadership and visibility into strategic and operational decision-making across the company.
ResponsibilitiesWHAT YOU'LL DOSupport Compliance & Risk Management Initiatives- Review annuity applications for suitability, ensuring compliance with state regulations and company guidelines.
- Assist in identifying, assessing, and mitigating compliance and operational risks.
- Support anti-fraud and anti-money laundering (AML) monitoring and detection efforts.
- Help ensure compliance with applicable state and federal insurance regulations.
Partner Across Operations & Leadership- Collaborate with the Chief Compliance Officer, Chief Operating Officer, and operational teams on strategic compliance initiatives and process improvements.
- Assist with oversight of third-party administrators to help ensure compliant operational practices.
- Provide reporting, analysis, and updates to leadership regarding compliance activities and emerging risks.
- Participate in special projects and cross-functional initiatives as needed.
Maintain Policies, Procedures & Regulatory Readiness- Assist with drafting, updating, and maintaining compliance-related policies and procedures.
- Monitor regulatory developments and help ensure company practices remain aligned with evolving requirements.
- Support responses to regulatory inquiries, audits, and consumer complaints.
- Conduct compliance reviews of marketing and advertising materials and help manage the company's marketing review system.
QualificationsWHAT WE'RE LOOKING FOR- Bachelor's degree required.
- 3-5 years of experience in compliance, operations, or risk management within the annuity, life insurance, or financial services industry.
- Experience working for an insurance carrier, broker-dealer, distribution firm, or related financial services organization preferred.
- Strong understanding of annuity products, suitability standards, and insurance regulatory environments.
- Proficiency in Microsoft Office applications, including Excel, Word, PowerPoint, and Adobe Acrobat Pro.
- Strong analytical, organizational, and problem-solving skills.
- Excellent written and verbal communication skills.
- Ability to manage sensitive information with discretion and professionalism.
SKILLS FOR SUCCESS- Strong business acumen with an interest in compliance and operational excellence
- Ability to analyze complex information and make sound, risk-based decisions
- Strategic thinker with strong attention to detail
- Self-starter who can work independently and collaboratively
- Comfortable interacting with all levels of leadership
- Ability to manage multiple priorities in a fast-paced environment
- Strong interpersonal skills with a collaborative, team-oriented mindset
- Adaptability and willingness to take on new challenges
WHY THIS ROLE STANDS OUT- Direct exposure to senior leadership, including the CCO and COO
- Opportunity to contribute to strategic initiatives in a growing organization
- Broad visibility across compliance, operations, and risk management functions
- Collaborative environment with opportunities for professional growth and development
- Meaningful work supporting financial products that help individuals prepare for retirement
LOCATION and COMPENSATION: - This role will be based in Denver, CO or Birmingham, AL
- This role will be hybrid (3x a week in the office)
- Base salary is expected to be $82,000 - $112,000* with the opportunity for incentive compensation including bonus compensation.
*Salary may vary based on work experience, market conditions, location, and qualifications/training.
