Alera Group was formed in 2016 by the merging of 24 high-performing insurance brokerage firms across the United States, and since has grown to 70 plus member firms. Headquartered in Deerfield, Illinois, Alera specializes in employee benefits, property and casualty, risk management and wealth management solutions and is the 14th largest independent insurance agency in the United States.
Alera is looking for a highly motivated and skilled Director of Compliance, Wealth Services, and Retirement Plan Services to join our team!
The role of the Director of Compliance (Director) is to work with the Chief Compliance Officer (CCO) to shape and reinforce a culture of compliance in support of the mission and values of Alera Group and its network of Investment Adviser Representatives and Registered Representatives registered with their respective Investment Advisors and Broker Dealers (collectively, the Firm). As a leader within the Firm, the individual will participate in both strategic and tactical planning for the department. The Director will coordinate with the CCO and our compliance team regarding the analysis of relevant laws and regulations, FINRA, SEC and other industry positions and court decisions pertaining to both our RIA and B/D businesses.
Operations and Communication
The candidate should have experience working in a collaborative, multi-entity compliance department, including maintaining policies and procedures; overseeing compliance risk assessment processes; implementing compliance training programs; and monitoring and remediating potential violations of policy or law.
We're an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.
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