VP of Compliance

LOCATION:  Indianapolis, IN area

OVERVIEW OF THE POSITION: Our Client, a global financial service corporation, is dedicated to providing their clients with superior customer service while always striving to exceed client expectations. They believe in order to provide quality services to their clients they must employ innovated individuals, that embrace a team collaborative spirit to provide innovative solutions to their customers. They are currently looking for a VP of Compliance. Candidate must have strong writing and communication skills and be able to multitask.


  • Interpret compliance-related materials and collaborate with affected departments
  • Establish compliance policies and procedures and testing programs; monitor compliance program and handle routine reviews
  • Oversee the review of all insurance and annuity product advertising
  • Maintain market conduct compliance records; coordinate and facilitate examinations and coordinate multi-departmental communications
  • Audit and file product forms in all applicable jurisdictions
  • Oversee the complaint process and draft responses to complaints; assist upper management  with the litigation process
  • Promote and carry out compliance training
  • Coordinate to maintain compliance
  • Support senior management and work with legal team to implement compliance support
  • Oversee internal and regulatory audits, examinations, and inquiries
  • Industry conferences and stay up to date on regulatory changes and developments
  • Tactical committee responsible for operational, legal and compliance risk


  • Bachelor’s degree (ideally a law degree but not required) and 7+ years of experience in the regulation of life insurance companies and 3+ years managing.
  • Profound  understanding of best practices in compliance and experience in developing/ implementing compliance
  • Respond to audits with contact to senior state/federal regulators
  • Insurance industry education achieved through NAIC, LIMRA, and/or LOMA
  • Strong diplomacy skills
  • Ability to adapt quickly with the transformation of the company/ industry
  • Skilled in MS Office applications

WHEN RESPONDING TO THIS OPPORTUNITY:  Resumes without the required technical skills and experience will not be considered.  Although a strong desire for a certain type of position is a credit to your goal, experience is necessary.  Our client is not considering sponsorship at this time and is not open to relocation expenses.

ID#: TBI13165- VP of Compliance

Rich Bradley: rich@teambradley.com