The Intermediate Compliance Analyst investigates client complaints, conducts market conduct investigations, and ensures compliance with regulations while preparing reports for stakeholders.

The Regional Director is responsible for leading a team to generate life and annuity sales, increase agent recruiting, and enhance field performance through strategic planning and relationship management.

Oversee compliance operations for client complaints and agent investigations, ensuring adherence to regulations and internal standards. Manage processes from complaint intake to resolution, while supervising investigations and developing compliance reports. Maintain regulatory compliance and facilitate stakeholder communication.