Sales Compliance Manager
| Company | Pacific Life |
|---|---|
| Location | Newport Beach, CA, USA, Omaha, NE, USA |
| Salary | $105120 – $128480 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior, Expert or higher |
Requirements
- FINRA Series 6/7, 26/24 and 63 Licenses Required
- 5+ years of experience in expense controls, compliance, risk management, audit
- 5+ years of experience related to the supervision and controls related to non-cash compensation
- Three to five years experience managing similar functions
- Deep Knowledge of FINRA rules on non-cash compensation and how it applies to CMD sales and distribution
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Ability to work independently and as part of a team
- Strong business acumen and ability to create efficient and repeatable processes and controls
- Demonstrated ability to think strategically and align internal resources
- Comfortable acting as a leader without having direct authority, to drive compliance across support teams
- Experience in developing policies and procedures
Responsibilities
- Collaborate with Office of General Council compliance on regulatory requirements, violations, appropriate supervision, and procedure development.
- Responsible for helping to ensuring that a proper system of reporting and approval controls is in place to facilitate sales leadership’s supervision in accordance with our written supervisory procedures (WSPs).
- Monitor Tableau reports for gifts and entertainment meals/activity (including business meals) for expenses outside of guidelines, De-Minimis Review, Office visits, and Education Events.
- Monitor promotional items in Salesforce/Concord systems and research and validate violations to ensure accuracy.
- Work with sales leadership on findings and follow up as appropriate.
- Maintain records and evidence of review.
- Lead and coach a team who provide administrative support to field wholesalers. Support includes – expense management, procurement of gifts, de minimus items, small event coordination, promotional mailers.
- Act as a liaison between members of the sales team, and OGC and PSD CEO.
Preferred Qualifications
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No preferred qualifications provided.