Consultant: Compliance Risk Management

Overview: The Compliance Risk Management Consultant is an individual contributor role, responsible for developing, implementing, managing and overseeing SFG's Governance Risk Compliance program. Responsibilities: • Develop, deploy, update and oversee risk and compliance program policies, procedures, controls, audit requirements, including reporting, and remediation and mitigation, and encompassing existing, new, emerging and evolving risk and compliance areas. Includes:

• Developing SFG’s risk assessment framework leveraging market intelligence, internal and external standards, and emerging practices for assessing regulatory, legal and reputational risks across local and national jurisdictions, and international jurisdictions where applicable.
• Developing, documenting, deploying and overseeing risk and compliance policies, procedures, metrics, key risk indicators (KRIs) and early warning indicators, data and reporting requirements, systems and technology, and monitoring mechanisms.
• Collaborating with matrix teams across SFG on rotational, ongoing and ad-hoc risk assessments and testing.
• Preparing responses to information requests from regulatory agencies.
• Conducting and/or overseeing compliance audits, reporting on findings, providing direction on gaps, vulnerabilities and remediation, implementing new requirements, and initiating follow-up.
• Advising all levels of leadership on areas of regulatory and legal risk and compliance, audit findings, remediation, and new and pending changes to the regulatory landscape.
• Developing, implementing and overseeing training programs for specific individuals, teams, departments and business units, and promoting a culture of risk and compliance awareness across SFG.
• Leading and/or participating in internal investigations and incident responses.
• Commitment to embrace Sammons Financial Group Companies shared values (Accountability, Connection, Openness, Respect and Integrity).
• As stated within the Company Attendance and Punctuality policy, regular attendance is required and expected in order to meet the business service levels and workflow demands.
• Participate in other initiatives and/or projects as necessary. Qualifications:

• Bachelor's Degree in economics, finance, business administration or a related field, or equivalent combination of education and experience. Preferred
• 8-10 years' related experience Required
• Prior experience as a risk manager or in a similar role Required
• Knowledge of legal, regulatory, and industry standards
• Strong analytical, problem-solving, and communication skills.
• Proficiency with compliance management tools.
• Strong knowledge of risk management principles including necessary controls, control testing, risk matrices, risk ranking and reporting
• Attention to detail; collaborative; excellent verbal, written and interpersonal communication skills.
• Securities background helpful, but not required
• 10% Minimal

Suitability Requirements:

This position requires a criminal background check.

Company Information: •Sammons Financial Group offers a competitive benefit package that includes: Health, Dental, Vision, Company Paid Retirement, PTO and Holiday Pay.

• Our Employee Stock Ownership Plan (ESOP) is a 100% company-funded retirement plan, so you can save for retirement without contributing a penny of your own paycheck.
• Healthy balance between work and personal lives. Friday afternoons off all year long, competitive PTO, and generous number of paid holidays.
• Our incentive program for defined goals subject to eligibility and performance. Monetary rewards are based on individual and/or overall company performance.
• Colleagues who support one another, model our core values, and drive our healthy, high-performing culture. Pay Range: USD $74,301.00 - USD $154,793.00 /Yr. Pay Transparency Verbiage: Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience. For a narrower salary range specific to your labor market, please inquire. Work Authorization/Sponsorship: At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)