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Contribute Your Regulatory Expertise to Our Compliance Team

An Empowering Career Awaits You in Compliance

As a valued associate in our Enterprise Compliance department, you can provide regulatory compliance guidance and oversight to help ensure Western & Southern Financial Group meets its regulatory obligations and requirements. Explore how you can apply your regulatory expertise across various business areas by pursuing a rewarding career in compliance.

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Master Regulatory Skills Across Different Business Disciplines

When you become a member of our compliance team, you specialize in providing regulatory expertise across a wide range of subject matter areas.

Corporate Compliance

Participate in regulatory initiatives related to privacy, cybersecurity, records management, fraud, anti-money laundering, regulatory examinations and complaints.

Insurance Compliance

Contribute expertise in regulatory areas such as insurance product design and approval, marketing and suitability as well as monitoring of state insurance regulation and producer licensing requirements.

Registered Investment Adviser Compliance

Advise and oversee various registered investment adviser business models from a diversified asset management firm along with real estate investment and mutual fund adviser activities.

Broker Dealer Compliance

Support all aspects of the compliance program, including maintenance and implementation of policies and procedures, training, anti-money laundering, employee and firm trading, and regulatory filings. Provide compliance advice, monitoring and oversight for effective programs. Responsible for ensuring the effective execution and sustainability of the SEC, FINRA and other regulatory requirements.

Mutual Fund Compliance

Partner with business and product development to test regulatory requirement-related controls in business-level policies and procedures, identify control deficiencies and perform enhanced due diligence reviews of fund service providers. Prioritize testing and oversight responsibilities by using risk-scoring models according to departmental processes.

Benefits of Working in Compliance

Excel in your professional development as a vital team member dedicated to helping to ensure Western & Southern Financial Group and its regulated subsidiaries continue to uphold their deeply rooted commitment to compliance.

Regulatory Subject Matter Expertise

Grow in your expertise as a regulatory subject matter expert. We support you along the way with a variety of ongoing professional development opportunities.

Proactive Approach

We continually engage your creativity and ingenuity through our proactive approach by encouraging you to think proactively to address a broad range of topics.

Collaborative Environment

Our collaboration across compliance functions allows for cross-training and engaging learning experiences related to a wide variety of topics.

Meet Our Chief Compliance Officer

Our enterprise compliance department continues to proactively assess and enhance the compliance program in order to respond to an evolving and increasingly complex regulatory environment. We look for talented and proactive individuals seeking to grow, develop and enhance their regulatory expertise.”

- Bruce Maisel - Vice President & Chief Compliance Officer
bruce maisel

What Our Compliance Associates Value Most in Their Jobs

Ready to Apply?

Browse a variety of engaging compliance opportunities available.
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IMPORTANT DISCLOSURES
1 Contributor is an employee of Western & Southern Financial Group. Personal views and opinions expressed are those of the contributor and do not necessarily reflect the views of Western & Southern Financial Group.