Corporate Compliance Principal - Minneapolis
Fully knowledgeable in specific aspects of compliance and is viewed as a senior resource within the company for that particular compliance function. Ensures compliance with regulatory and legal requirements and related company policies for areas assigned. Responsible for overall program management of assigned areas, including research, change recommendations, monitoring, risk assessment, oversight and stakeholder management.~crlf~~crlf~Responsible for successfully leading multiple projects, simultaneously with minimal direction. Must have deep subject matter expertise in the assigned area and ability to provide technical direction to others. Fully cognizant of the broader compliance environment, both inside and outside of the department and company. May be tasked with special assignments/projects that are outside the scope of his/her day-to-day responsibilities.
- Design, build and manage compliance programs for wholesaling broker dealer - leads complex, multiple programs and provides informal work direction to others.~crlf~- Assess risks to determine plan for 3120 testing, annual training and compliance program improvement.~crlf~- Analyze, design and assess compliance-related metrics/measures; communicates business impact to business partners.~crlf~- Manages relationships with internal and external customers and stakeholders, including regular interactions with senior business leaders.~crlf~- Industry participation: Contributes to industry leadership through articles and involvement at industry round-table events; maintains industry contacts.~crlf~- Identifies, researches and resolves complex issues independently.~crlf~- Oversees annual 3120 testing, reporting and remediation.~crlf~- Plans and coordinates development, delivery and completion of annual compliance requirements for registered employees.~crlf~- Administers and monitors electronic communication archiving and supervision.~crlf~~crlf~
Minimum Requirements:~crlf~– 6-7 years broker dealer experience required, preferred in compliance or supervision.~crlf~– Four-year degree required or equivalent work experience~crlf~– FINRA Series 7 and 24 required~crlf~~crlf~
Job may require periods of stooping, bending, sitting or standing.~crlf~~crlf~At Allianz, we foster a workplace where every person feels welcome, connected, and valued.
Allianz is the home for those who dare – a supportive place where you can take the initiative to grow and to actively strengthen our global leadership position. By truly caring about people – both its 85 million private and corporate customers and more than 142,000 employees – Allianz fosters a culture where its employees are empowered to collaborate, perform, embrace trends and challenge the industry. Our main ambition is to be our customers’ trusted partner, instilling them with the confidence to grow. If you dare, join us at Allianz Group.~crlf~~crlf~Allianz is an equal opportunity employer. Everybody is welcome, regardless of other characteristics such as gender, age, origin, nationality, race or ethnicity, religion, disability, or sexual orientation.
Retiring with financial security. Living life with confidence. At Allianz Life®, every employee knows these are the things that matter. To do what matters means giving employees the tools and opportunities they need to create innovative, industry-leading products, to discover and embrace new trends, and to strengthen the customer experience. As a company, it means creating a culture that is inclusive, where doing the right thing comes naturally, and promoting an environment that develops talent, seeks excellence, encourages smart risks, and recognizes and rewards people for their performance. Doing what matters for employees helps everyone focus on doing what matters most for our customers. Allianz Life. What you do here matters.
Why Allianz Life®? Because we hire people who are dedicated to doing what matters and we give you the quality training, support, and advancement opportunities you need to succeed. As a company known for its financial strength, we offer generous benefits, have a strong commitment to community involvement, a collaborative culture, and a unique level of energy. The result is engaged and more productive employees. From the very first day you join our team, you will know that your contributions are valued. We practice True Balance at our campus by providing a fun work environment, an on-site child development center, a fully staffed fitness center, and a variety of meal options in both our full-service cafe and bistro. And all medical, dental, and retirement benefits are effective the first day you join Allianz Life, so you can focus on what truly matters.~crlf~~crlf~An equal opportunity employer.~crlf~~crlf~
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