Aegon · 19 hours ago
Compliance Manager - Agent Regulatory Compliance/Agent Misconduct (Hybrid)
United States
Full-time
Hybrid
Mid, Senior Level
$100K/yr - $110K/yr
5+ years expAegon is seeking a Compliance Manager to lead the compliance department's daily operations. The role involves monitoring and ensuring compliance with state and federal regulations, analyzing compliance risks, and developing oversight programs for agents and agencies.
Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement
No H1B
Responsibilities
Develop and execute oversight programs for agents, agencies and broker dealers selling insurance and annuity products
Monitor agent, agency, and broker dealer activities for compliance with state, federal, and company regulations
Review sales practices, suitability, and documentation to ensure adherence to standards
Analyze trends and patterns in agents performance and compliance issues to recommend training and process improvements
Lead a team responsible for insurance and annuity agent monitoring, support and compliance
Identify and assess potential compliance risks related to agent behavior and sales practices
Direct and assign projects to technical and administrative staff
Review projects for completeness and overall performance of compliance department staff
Determine impact on administrative and marketing functions in regard to legislation changes
Assist in the development of new marketing materials and concepts
Create response to complex complaints
Oversee complex investigations
Initiate projects to improve the efficiency of the compliance department
Develop analytical abilities of technical staff to enable them to achieve degree of expertise
Establish departmental policies and procedures
Prepare reports on operation of department
Represent the company at various industry related meetings
Assist in evaluating overall Compliance Risk factors
Assist the legal department with state insurance department audits, corporate audits, and internal audits
Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency
Qualification
Required
Bachelor's degree in business, marketing, political science, pre-law, paralegal or other relevant area
Minimum of 5 years insurance or securities experience
Strong knowledge of insurance and annuity products and regulatory requirements (FINRA, NAIC, state insurance laws, etc.) regarding financial crimes and insurance compliance
Preferred
At least 1 year supervisory experience preferred
Excellent written and verbal communication skills
Advanced analytical, interpretive, organizational and negotiations skills
Understanding of contract law and company operations
Benefits
Annual Bonus based on the Company Bonus Plan/Individual Performance
Company
Aegon
Aegon offers products and services in the life insurance, pension, retirement, and asset management fields.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$760M2024-04-10Post Ipo Debt· $760M
1999-04-01IPO
Leadership Team
Lard Friese
Chief Executive Officer
Duncan Russell
Chief Financial Officer
Recent News
2026-01-22
GlobeNewswire
2026-01-12
Alternative Credit Investor
2026-01-03
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