Compliance Director

Group 1001 is a consumer-centric, technology-driven family of insurance companies on a mission to deliver outstanding value and operational performance by combining financial strength and stability with deep insurance expertise and a can-do culture. Group1001's culture emphasizes the importance of collaboration, communication, core business focus, risk management, and striving for outcomes. This goal extends to how we hire and onboard our most valuable assets - our employees.

Why This Role Matters:

Build the compliance function for a fast-growing digital annuity brand!

Most compliance roles hand you an existing program and a review queue. This one asks you to design the program.

Gainbridge is a direct-to-consumer annuity platform backed by Group 1001's life and annuity business. We've just relaunched with a new brand, a new product lineup and significant media spend across digital, social, print and streaming. Behind it are strong engineering, product and design teams who ship quickly.

We're looking for a compliance leader who works alongside the people building the business, not just signing off at the end. You'll work directly with Gainbridge's senior leadership and its Product, Marketing and Engineering leaders. You'll turn complex insurance, securities and advertising rules into clear guidance that lets the business launch with confidence. When the answer is no, you'll explain why and offer a better route. More often, you'll say "yes, and here's how."

If you've built compliance processes at a digital brokerage, fintech or annuity distribution platform, and you're ready for wider scope and more visibility, keep reading.

What You Own:

• Build the compliance framework for the Gainbridge DTC annuity platform, covering state insurance law, NAIC model regulations, FINRA/SEC principles, advertising standards, privacy, electronic delivery and consumer protection.
• Advise senior leadership. Bring risk-based recommendations to leadership on product strategy, distribution, marketing campaigns and new markets. Leaders will want your input, not just your approval.
• Help shape products from the start. Act as compliance lead on new product development, influencing design, features, disclosures and launch plans from the whiteboard stage through go-live.
• Make digital marketing compliant at speed. Review and approve campaigns across paid social, influencer, search, streaming, web, email and print, and set the standards that let creative teams work quickly.
• Make compliance part of the product. Work with Engineering and Design on the customer journey, including online applications, e-signature, e-delivery and in-app disclosures.
• Build systems that scale. Design review workflows, checklists, self-service tools and tooling (or choose it) so partners can work fast without creating risk.
• Stay ahead of regulatory change. Track new laws, regulations and guidance affecting annuities and digital distribution, assess the business impact, and lead implementation.
• Raise compliance fluency across Gainbridge through practical training that teams use.
• Contribute across the enterprise. Share what you build with Group 1001's wider Life & Annuity compliance program and help set the standard across the organization.

Who You Are:

• A builder. You've created processes, playbooks or tools where none existed, and you improve them as the business grows.
• A trusted advisor. Executives seek out your judgment. You know when to escalate, when to push back and when to find a compliant way forward.
• Comfortable with ambiguity. You do well in fast, changing environments and can bring startup energy into an established insurance company.
• Low-ego and collaborative. You'd rather earn influence than rely on authority.
• A clear translator. You can explain a complex rule to an engineer, a marketer and a CEO, and all three understand it.

What You'll Bring:

• 7+ years of progressive compliance experience in financial services, such as a digital brokerage, annuity distribution or technology platform, Fintech, Insurtech or life and annuity carrier.
• Hands-on experience reviewing consumer-facing marketing and communications across digital, social, web, email and print, under FINRA Rule 2210, state insurance advertising regulations, or both.
• Working knowledge of annuity products and the frameworks that govern how they're sold, including suitability and best-interest standards. You're committed to developing deep expertise in state insurance law and NAIC model regulations.
• Experience advising Product, Engineering and Marketing teams on digital customer experiences, including online applications, disclosures, and electronic delivery.
• A record of influencing senior stakeholders and balancing regulatory requirements with business goals.
• Strong analytical, writing and communication skills.
• Bachelor's degree required. An advanced degree is a plus.

Nice To Have:

• Experience at a DTC fintech, digital brokerage, Insurtech or annuity platform.
• Fixed or fixed indexed annuity experience is a plus
• Familiarity with compliance review and content workflow tools such as Red Oak, Saifr or Smarsh, or digital asset management systems.
• FINRA Series 6, 7, 24 or 26. Not licensed yet? We'll support you in getting licensed.
• JD or other advanced degree.
• Experience leading regulatory or market conduct exams, audits, or regulatory inquiries.

Compensation:

Our compensation reflects the cost of labor across several U.S. geographic markets. The total compensation for this position ranges from $135,000/year in our lowest geographic market up to $165,000/year in our highest geographic market. Pay is based on a number of factors including market location and may vary depending on job-related knowledge, skills, and experience.

Benefits Highlights:

Employees who meet benefit eligibility guidelines and work 30 hours or more weekly, have the ability to enroll in Group 1001's benefits package. Employees (and their families) are eligible to participate in the Company's comprehensive health, dental, and vision insurance plan options. Employees are also eligible for Basic and Supplemental Life Insurance, Short and Long-Term Disability. All employees (regardless of hours worked) have immediate access to the Company's Employee Assistance Program and wellness programs-no enrollment is required. Employees may also participate in the Company's 401K plan, with matching contributions by the Company.

Group 1001, and its affiliated companies, is strongly committed to providing a supportive work environment where employee differences are valued. Diversity is an essential ingredient in making Group 1001 a welcoming place to work and is fundamental in building a high-performance team. Diversity embodies all the differences that make us unique individuals. All employees share the responsibility for maintaining a workplace culture of dignity, respect, understanding and appreciation of individual and group differences.

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