Director of Compliance


Urbandale, IA

Industry: Accounting, Finance & Insurance


8 - 10 years

Posted 6 days ago

  by    Joey Higgins

Brokers International ["BI"] is one of the nation's largest and longest standing insurance marketing organizations, delivering fully integrated insurance, retirement, and wealth management solutions to 25 agencies and 2500 independent agents in 49 states. At BI, our passion is to help our partners succeed. We do this every day with industry leading marketing solutions, product support, and back office operations. We are a strategic growth accelerator for our partners.

Under the leadership of CEO Mark Williams, BI is making significant investments in talent, operations, sales and marketing capabilities, and digital platforms in order to step-change its ability to drive accelerated growth as a strategic partner.

BI's culture is one of inclusion and passionate teamwork. You will be surrounded by individuals that are passionate about our company, our brand, the level of support we provide our partners, and working as one integrated team. Our core values are Teamwork, Work Ethic, Integrity, and Customer Service. If you are up for the challenge, come join us and be part of taking BI on a new journey of accelerated growth and success.

Director of Compliance

As a key member of the Brokers International, the Director of Compliance will report to the President/CEO and manage and oversee compliance related functions, including reviewing sales and marketing materials, ensuring adherence of our policies and procedures, and staying abreast of federal and state laws and regulations.

The Role

  • Review and approve advertising and sales material in accordance with established guidelines - producer and client facing.
  • Examine establishment policies, procedures, and practices to ensure compliance with laws and regulations.
  • Stays abreast of changes to federal and state laws and regulations affecting the management, operations, and product offerings of Brokers International.  
  • Oversee the revision, preparation, and dissemination of new and updated compliance standards and procedures.
  • Coordinate, supervise, and support our compliance-related programs, such as compliance training, disaster recovery, HIPPA, and records warehousing and destruction.
  • Create, review and enforce contracts for Brokers International.
  • Inform and advise management of conditions and status of BI's adherence to laws and regulations.
  • Consult with and advise managers affected by compliance issues and regulatory requirements.

Knowledge, Skills and Abilities

  • Must exhibit our Core Values.
  • Ability to identify, weigh and convey potential risks.
  • Strong business person who thinks about issues from a business perspective; brings strong business and financial acumen to the role and uses this to complement his/her functional depth. 
  • Highly results-oriented; able to work in a multi-task environment, managing multiple priorities while delivering results.
  • Resolves conflicts and facilitates changes in a productive manner; an influencer and someone who engenders trust.
  • Exceptional written, oral, interpersonal, and presentation skills and the ability to effectively interface with senior staff.
  • Superior management skills; ability to influence and engage direct and indirect reports and peers.
  • Strong analytical ability
  • Working knowledge of Microsoft Office

Education and/or Experience

  • Bachelor's degree (B. A.) from four-year college or university and 7 – 10 years related experience; or equivalent combination of education and experience.
  • At least two years' experience leading a team
  • Former regulator / legal experience a strong plus. 
  • Prior experience with life insurance and/or annuities preferred.
  • Based on experience, a higher level may be considered.

Benefits & Perks

Brokers International offers a comprehensive benefits package including competitive pay, PTO, paid holidays, medical/ dental/vision coverage, Family medical flexible spending account, dependent care flexible spending account, retirement plan options, employer paid short term disability, long term disability, and life insurance. We also reward our associates' hard work with profitability bonuses and tuition reimbursement. We strive to provide a workplace that promotes health and well-being with a work/life balance. We have adjustable sit/stand desks, a gym reimbursement program and free, fresh fruit is available daily. We wear jeans every day and close every Friday at 3 p.m.

We do not sponsor employment visas.

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