Compliance Specialist - Annuity Compliance & Re...
@ Ceres USA Company

Hybrid
$120,000
Hybrid
Full Time
Posted 22 days ago

Your Application Journey

Personalized Resume
Apply
Email Hiring Manager
Interview

Email Hiring Manager

XXXXXXXX XXXXXXXXXXX XXXXXXXX***** @ceresusa.com
Recommended after applying

Job Details

Company Overview

Westaim and CC Capital have joined forces to transform Westaim into a global alternative credit asset manager with a unique integrated insurance platform branded as New Westaim. Ceres USA Holdings, LLC, part of the New Westaim strategy, is the parent company of Ceres Life Insurance, a fast-growing annuity carrier startup dedicated to securing financial futures through innovative annuity solutions.

About the Role

This Compliance Specialist - Annuity Compliance & Regulatory Oversight role is designed for a compliance professional who can flex across multiple functions including regulatory oversight, sales practice monitoring, AML/BSA support, and testing. The candidate will play a key role in supporting the company’s AML program and ensuring adherence to regulatory requirements.

Key Responsibilities

  • Regulatory Compliance Oversight: Monitor compliance with state and federal laws, NAIC model regulations, and company policies related to annuity products.
  • AML/BSA/OFAC Support: Assist with customer due diligence, transaction monitoring, and maintaining regulatory compliance.
  • Sales Practices Oversight: Oversee distribution partner activities, analyze red flag indicators, and use data analytics for risk detection.
  • Testing & Monitoring: Participate in risk-based reviews and validate the effectiveness of compliance controls.
  • Policy & Guidance Management: Help design, document, and maintain compliance policies and guidance.
  • Cross-Functional Collaboration: Work with Operations, Legal, Distribution, and Product teams to integrate compliance best practices.
  • Leadership & Board Reporting: Assist in preparing updates and reports for senior leadership and the Board.
  • Training & Communication: Support the development and delivery of compliance training programs.

Qualifications & Preferred Attributes

  • 7+ years of compliance experience within the life insurance and annuity industry.
  • Broad knowledge of annuity regulatory frameworks and familiarity with AML/BSA, OFAC requirements.
  • Strong analytical, organizational, and communication skills.
  • Experience working in a startup/early-stage environment.
  • Proficiency in data analysis methods and tools such as Excel and compliance monitoring systems.
  • Bachelor’s degree required; additional certifications are a plus.

Why Join Us?

Be part of a fast-growing, innovative insurance business. Shape a compliance program from the ground up, work closely with senior leadership, and enjoy a competitive package with PTO, health benefits, and career growth opportunities.

Key skills/competency

  • Compliance
  • Annuity
  • Regulatory
  • AML
  • BSA
  • OFAC
  • NAIC
  • Monitoring
  • Data Analysis
  • Risk Management
Apply without a personalized resume

How to Get Hired at Ceres USA Company

🎯 Tips for Getting Hired

  • Research Ceres USA Company: Review company culture, mission, and recent news.
  • Tailor your resume: Highlight relevant compliance and annuity expertise.
  • Showcase analytical skills: Emphasize data analysis and risk management.
  • Practice interview questions: Prepare detailed answers on compliance scenarios.

📝 Interview Preparation Advice

Technical Preparation

Review state and federal compliance regulations.
Study AML, BSA, OFAC guidelines.
Practice Excel and dashboard data analysis.
Familiarize with compliance monitoring software.

Behavioral Questions

Describe a challenging compliance project.
Explain cross-functional teamwork examples.
Discuss handling compliance-related stress.
Share experience adapting to process changes.

Frequently Asked Questions