Director of Compliance Job recruitment

Director of Compliance

Job ID #: 73861
Location: AZ-Phoenix
Functional Area: Compliance
Business Line: Advisor Group
Employment Type: Full Time
- Permanent
Education Required: Bachelors Degree (or equivalent)
Experience Required: 3-5 years
Relocation Provided: No
Travel Percentage: 0

Position Description:

Our Director of Compliance of SagePoint Financial Inc. Broker Dealer Compliance Unit will be responsible for the day to day activities in the Compliance Department including oversight of incoming calls and requests from representatives for information. Oversight of the supervisory process including generating, tracking and delivering disciplinary action such as letters of caution will be a focus of this position. The Compliance Director will have Compliance Analysts reporting to him or her to ensure work flow is accurate and punctual.
Position reports to the Chief Compliance Officer.

Position Requirements
Series 7 and 24 required within 90 days if not already obtained.

Candidate must have previous experience organizing or leading projects.
Candidate must have working knowledge of internal and external compliance related rules, regulations and policies.
The ideal candidate must be capable of self-management, multitasking with strong attention to detail.
In addition, the candidate will have excellent analytical skills with a thorough knowledge of compliance polices involved with retail activity. The position entails access to sensitive, confidential information and requires the ability to build strong relationships with others.
The candidate must be capable of working independently as well as within a group.
Must be a strong team player, detail oriented with excellent verbal and written communication skills,
organization skills and problem solving skills.

SAFG:CB06/13/2012
SAFG:LI06/13/2012
SAFG:EFC06/13/2012

About Us:

SunAmerica Financial Group is one of the largest life insurance organizations in the United States based on over $236 billion of admitted assets as of June 30, 2011. Serving over 18 million customers, SunAmerica Financial Group is comprised of several leading life insurance and retirement services businesses, including American General Life Companies, AGLA, VALIC, Western National Life Insurance Company, SunAmerica Retirement Markets, SunAmerica Mutual Funds, SunAmerica Affordable Housing Partners, FSC Securities, Royal Alliance and SagePoint Financial. The unified businesses offer a comprehensive suite of life insurance, retirement savings products and guaranteed income solutions through an established multi-channel distribution network that includes banks, national, regional and independent broker-dealers, career
Financial Advisors, wholesale life brokers, insurance agents and a direct to consumer platform. Equal Opportunity Employer.