Assistant Director Field Policy

Assistant Director - Field Policy

Summary : As the Assistant Director - Field Policy, you will support the administration, evolution, and maintenance of our Field Policies. You will serve as an escalation point, lead technical resource, and advisor to the Field Function and the broader field. Key responsibilities include : Subject Matter Expert : Acting as a subject matter expert on distribution policy, addressing related matters and independently resolving inquiries. Consultation : Providing primary consultation on field policies for issues across the enterprise, offering guidance to home office stakeholders, field leaders, financial representatives, and their teams on unique and unprecedented policy issues. Project Leadership : Leading project or program management efforts related to Field Policy to identify gaps, best practices, and proactive solutions to business challenges. This role requires comfort in navigating ambiguous environments, strong consultation skills, decisiveness, the ability to manage initiatives, and the ability to take a proactive approach to enhancing field policy administration. Primary Duties & Responsibilities : Support the development and revision of field policies in collaboration with cross-functional partners. Work closely with enterprise partners to build alignment on escalations and lead the development and implementation of recommended solutions. You will serve as the escalation lead for complex, sensitive, and non-standard field policy-related matters. Lead or participate in departmental business and / or enterprise projects as required. As a registered securities principal, oversee the work of non-registered staff members. Demonstrate broad decision-making and problem-solving latitude, creativity, and accountability to address non-standard situations, promote adherence to and apply policies, and grant approval in non-standard scenarios to Company and NMIS policy. Provide counsel and recommendations to field management, Field Performance teams, and business leaders on escalated issues. Support the development and / or improvement, implementation and oversight of new processes or enhancements to existing processes to address changes in our business direction or regulatory requirements. Qualifications : Series 7, Series 24 strongly preferred (or ability to obtain within 6 months of hire) Bachelor's degree and a minimum of 7 years of professional experience in the insurance industry with risk and investment products and additional experiences in the areas of broker-dealer supervision, law, or compliance. Demonstrated ability in independent and collaborative problem solving, critical thinking and assessment skills, navigating ambiguity, influencing without authority, project management, implementation, and decision-making. In-depth knowledge of the culture and structure of the Company and its field force as well as experience working...