Senior Compliance Analyst

Overview

Ensures insurance product compliance with FINRA, SEC, and state regulations.

Requirements

• series 6
• finra
• serff
• bachelors
• variable annuity
• reg research

What You Bring

Must be eligible to work in the United States, unable to provide sponsorship at this time. -has life insurance/annuities experience -Has series 6 or 7 licenses -Been through audits with FINRA -Registered product experience- variable life/variable annuity experience -Bachelors degree + not hoppy -Professional Insurance Designation (ACS, AIRC, ALMI) or ability to work towards a designation(s) during first 24 months. -Ability to analyze complex regulatory requirements and effectively communicate them to stakeholders. -Strong experience dealing with the federal regulators- has had to file with a federal regulator -Hands on experience with and knowledge of Insurance and financial services regulations -Strong writing experience & has some technical writing experience like: regulatory requirements, reg documents, compliance/regulatory letters, writing that’s been passed to regulators or lawyers -Serff (electronic filing platform we use to send product filings to the states) experience -4+ years MIN dealing with FINRA and SEC (federal regulators) -Experience with broker dealers -Thorough and detailed -Experience with operational compliance within a broker dealer environment (can be an in house Broker dealer within a large org as well) -Experience with regulatory research is a must

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Benefits

Hybrid role, 3 days in office, 2 can be remote.

About Alpine Solutions Group

-Starts with a simple challenge: connecting top-tier tech and engineering talent with high-growth companies. -Engages in roles spanning application development, big data platforms, BI, RPA, electrical & civil engineering, accounting, and healthcare implementation, blending deep technical insight with staffing agility. -Typical projects include scaling engineering teams for Series‑B to Series‑D startups, supporting finance leadership hires, and supplying specialized talent for healthcare credentialing and revenue cycle systems.

Sector Specialisms

Visa Sponsorship

-must be eligible to work in the united states; no sponsorship will be provided.