Position Summary

The Director, Compliance Operations owns the operating rhythm of the Life & Annuity compliance program: the cadence, reporting, monitoring and testing, and initiative delivery that make the program run and allow it to demonstrate that it works. This role also owns compliance integration for business units entering the segment, both newly acquired units and the backlog of prior acquisitions that have not yet been fully absorbed into the segment operating model.

This is the seat that turns a compliance program from something the team does into something the business can see and an examiner can test. The ideal candidate brings compliance operations or program management depth, the discipline to build and hold a reporting and monitoring calendar, and the ability to drive initiatives to closure across teams that do not report to them. Integrity is growing quickly through acquisition, and a compliance program that cannot report, monitor, execute, or integrate at that pace will not hold.

Key Responsibilities

• Operating Rhythm and Reporting
• Own the segment compliance operating rhythm, including meeting cadence, governance forums, reporting calendar, and escalation paths
• Own compliance reporting to segment leadership, executive stakeholders, and enterprise governance, including metrics definition and trend commentary
• Maintain the segment compliance dashboard and key indicators on the enterprise GRC platform
• Prepare materials for governance forums, including status, findings, remediation progress, and emerging risk
• Monitoring and Testing
• Own the segment monitoring and testing program, including annual planning, scope, execution, and reporting of results
• Design and execute testing over suitability and best interest documentation, replacements and exchanges, required disclosures, and advertising review workflow
• Track and validate remediation of control gaps and findings through to documented closure
• Maintain audit-ready evidence and documentation to support internal and external review
• Business Unit Integration
• Own compliance integration for business units entering the segment, including newly acquired units and the backlog of previously acquired units not yet fully integrated
• Receive the post-close handoff from the enterprise transaction runbook and own the segment lanes through to completion
• Assess acquired unit compliance practices against segment standards and build a remediation and adoption plan with defined milestones
• Coordinate with enterprise capability owners on privacy, third-party risk, audit scope, and policy adoption for incoming units
• Program Execution and Leadership
• Drive compliance initiatives from mandate to closure across teams without direct authority over all participants
• Own segment procedures and standard operating procedures, including annual review and update
• Identify automation and efficiency opportunities across the program, including AI-assisted monitoring, reporting, and documentation workflows
• Lead, develop, and grow the compliance operations team

Required Qualifications

• Bachelor's degree in Business, Legal Studies, Insurance, Operations Management, or a related field
• 8 to 12 years of experience in compliance, with substantial time in compliance operations, monitoring and testing, or program management
• Demonstrated experience owning a monitoring or testing program, including planning, execution, and reporting of results
• Demonstrated experience building compliance reporting for executive and governance audiences
• Track record of driving cross-functional initiatives to closure without direct authority
• Experience integrating acquired businesses into an existing compliance operation
• People leadership experience, including developing analysts and senior analysts
• Skills
• Strong analytical and data skills, including the ability to build metrics that mean something to an executive audience
• Exceptional organizational discipline, with the ability to hold a calendar and a commitment log across many parallel workstreams
• Clear written communication, including executive reporting and procedure drafting
• Ability to influence and coordinate across business units, enterprise functions, and acquired teams
• Comfort working in a fast-paced, high-growth, acquisitive environment
• Proficiency in Microsoft Office Suite, with strong Excel and PowerPoint capability
• Preferred Qualifications
• SILA-F, AIRC, ACS, CCEP, or comparable compliance designations
• Experience in a distribution, IMO, FMO, or agency environment
• Hands-on experience with GRC platform reporting and workflow configuration
• Experience remediating a backlog of partially integrated business units
• Process improvement or project management certification such as Lean, Six Sigma, PMP, or CAPM
• Familiarity with life and annuity suitability, best interest, and advertising review requirements