Compliance Director
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Job Description
Compliance Director guiding regulatory compliance for Gainbridge’s direct-to-consumer annuity platform. Partnering across product, marketing, technology, and operations within Group 1001.
Responsibilities:
- Lead the design, implementation, and oversight of the compliance framework for the direct-to-consumer annuity platform
- Ensure adherence to applicable state insurance laws, NAIC model regulations, FINRA/SEC requirements, advertising standards, privacy requirements, electronic delivery rules, and consumer protection obligations
- Partner with Product, Operations, Marketing, Engineering, Design, and Technology teams to review and approve digital customer journeys, marketing and advertising, disclosures, online applications, and sales processes
- Serve as the compliance lead for new product development initiatives
- Advise cross-functional stakeholders on product design, features, disclosures, distribution strategy, and implementation
- Build scalable review workflows, checklists, and self-service tools
- Lead regulatory change management by identifying emerging laws, regulations, and industry guidance, assessing business impact, and driving timely implementation
- Develop and deliver compliance training across the Gainbridge organization
- Contribute to the broader Group 1001 Life and Annuity compliance program and share best practices enterprise-wide
Requirements:
- 7+ years of progressive compliance experience within the life and annuity industry, ideally including direct-to-consumer or digital distribution
- Bachelor’s degree required
- Deep working knowledge of fixed and fixed index annuities, including state insurance laws, NAIC model laws, advertising standards, consumer protection requirements, and electronic delivery
- Demonstrated experience providing strategic compliance guidance for product development, digital distribution, and direct-to-consumer sales models within the life and annuity industry
- Extensive experience reviewing marketing and advertising for annuity products across digital, print, social media, and other distribution channels
- Strong partnership and influencing skills across product, operations, technology, marketing, and leadership
- Exceptional analytical, communication, and problem-solving skills
- Ability to translate complex regulatory requirements into practical risk-based guidance and actionable business solutions
- Comfortable creating processes and tooling where none exist
- Comfortable operating in ambiguity and moving at startup speed inside an established insurance enterprise
- Prior experience supporting a direct-to-consumer fintech or insurtech platform
- Experience with digital marketing compliance tooling, review workflow platforms, or content management systems
- Familiarity with SEC/FINRA advertising principles
- Series 6, 7, 24, or 26 registrations, or willing to obtain
- Experience leading regulatory examinations, market conduct examinations, audits, or responding to regulatory inquiries
Benefits:
- Comprehensive health insurance plan options
- Dental insurance plan options
- Vision insurance plan options
- Basic and Supplemental Life Insurance
- Short- and Long-Term Disability
- Employee Assistance Program
- Wellness programs
- 401K plan with matching contributions by the Company
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