Advisor & Distribution Assessment Consultant

As an Advisor & Distribution Assessment Consultant, you will employ a consultative approach to proactively engage with distribution partners to build strong awareness of regulatory, compliance, and conduct-risk requirements. You will help partners establish and maintain compliant business practices and strengthen their overall risk culture.

Requirements

• Provide compliance oversight, support, and guidance to advisors, MGAs, and National Account partners
• Oversee and monitor distribution partner business practices by assessing risk, conducting field reviews and site visits, and performing comprehensive advisor and firm-level assessments to evaluate compliance strength, identify gaps, and influence appropriate corrective actions
• Develop comprehensive assessment reports that evaluate advisor and distribution practices, documenting gaps, and providing clear, evidence-based recommendations to support effective remediation and alignment with requirements

Benefits

• Career Development: Opportunities for career advancement, access to industry-leading learning programs and up to $2,000 annually towards education reimbursement.
• Health & Wellness: Flexible health and dental benefits, plus a $5,000 mental health benefit to support your well-being.
• Time Off: In addition to regular vacation and personal days, we support community involvement with a volunteer day.
• Financial Security: Company-matching pension plan, share ownership program and additional investment options.
• Rewards and Recognition: Employee recognition programs, service milestone celebrations, employee discounts and more!
• Emphasis on Community: We provide a workplace where employees feel connected and supported through Employee Resource Groups (ERGs), mentorship programs, social clubs and events.