Broker Dealer Compliance Analyst
Aspida Financial Services LLCDurham, North Carolina, United States
Posted August 1, 2025
Full Time
About the Company
Aspida Financial Services LLC is a tech-driven insurance carrier offering simple and secure retirement solutions and annuity products through an intuitive digital platform. Backed by Ares Management Corporation, the company focuses on stable retirement products with attractive features and downside protection.
Job Description
Aspida is seeking a motivated and independent Compliance Analyst to act as a Subject Matter Expert (SME) for variable product and marketing content compliance. This hybrid role requires working on-site 3 days a week at the Durham, NC headquarters and leading conversations with internal business partners. The role involves monitoring regulatory requirements, assisting with policy development, and participating in compliance activities.
Requirements
- Act as a Subject Matter Expert (SME) in compliance matters involving variable product & marketing content requirements with FINRA and state insurance departments.
- Lead conversations regarding compliance issues and proactively identify potential risks.
- Monitor developments in the areas of AML, Fraud and consumer Complaints.
- Draft and update compliance policies and procedures to ensure ongoing compliance with legal and regulatory requirements.
Benefits
- Long-Term Incentive Plan
