Senior Compliance Officer

The Senior Compliance Officer oversees the conduct and business practices of insurance Advisors contracted with Assante Estate and Insurance Services Inc. (AEIS), ensuring compliance with regulatory requirements, carrier expectations, and company policies for life insurance and segregated fund business. The role involves coaching the compliance team, managing escalations and investigations, developing policies, and providing guidance to internal departments and advisors. It also includes participating in enterprise initiatives related to risk management, anti-money laundering, and privacy standards, as well as supporting carrier compliance reviews and advisor practice reviews.