We are Athene. At Athene, we are driven to do more. We are a leading retirement services company that issues, reinsures and acquires retirement savings products designed for the increasing number of individuals and institutions seeking to fund retirement needs. We see every day as a new opportunity to measure ourselves against the best – and then we don’t stop until we’ve set the bar even higher. We’re ready to help you achieve more.
The Vice President of Compliance will assist the CCO in leading, developing and implementing all compliance functions related to Athene Holding Ltd. and Athene USA.
- Ensure Athene insurance companies meet all insurance-related regulatory requirements of the governing laws of all 50 state jurisdictions, the NAIC, the SEC, FINRA, OFAC, IRS and other applicable federal and/or state regulators.
- Ensure compliance oversight processes are aligned with business strategies, operations and processes and that identified gaps or weaknesses are escalated to senior management and/or the Boards of Directors.
- Ensure proper policies and procedures are developed and implemented to comply with new federal and/or state regulations.
- Promote, provide and maintain positive relationships with all 50 state insurance departments and federal regulators on insurance matters and provide point of contact for certain regulatory issues.
- Provide oversight of the following Compliance programs: Corporate Anti-Bribery Policy Third-Party Administration Compliance Program Financial Institution/Broker-Dealer Compliance Program Corporate Training program.
- Serve as Anti-Fraud Officer and ensure the Financial Crime Program meets regulatory requirements.
- Serve as Anti- Money Laundering (AML) Compliance Officer and ensure the AML Program meets regulatory requirements.
- Serve as Corporate Record Retention Officer and ensure the Record Retention Program meets regulatory requirements.
- Serve as SIU Director and provide oversight for the Special Investigations Unit (customer and fraud investigations).
- Develop and implement compliance strategies in order to mitigate undue regulatory scrutiny associated with project initiatives.
Qualifications And Experience
- 10+ years’ experience with an emphasis on compliance, securities and insurance.
- Series 6 and 26 or equivalent FINRA licenses preferred.
- Strong communication skills.
- Excellent analytical skills and seasoned judgment.
- Experience working with senior management.
- Financial Crime designations preferred.
- Bachelor’s Degree required.
- Juris Doctorate Degree or other advanced degree preferred.
NOTE: Successful candidate will be required to complete a pre-employment background check.
Drive. Discipline. Confidence. Focus. Commitment. Learn more about working at Athene .
Athene is a Military Friendly Employer! Learn more about how we support our Veterans .
Athene is an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, or veteran status or any other status protected by federal, state or local law.
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