I worked at Compliance full-time (More than 8 years)
Built a compliance department from the ground up. Liberty Bankers was a start up company and I always wanted to create my own compliance department.
CEO would purchase blocks of business based solely on potential profits and little due diligence was done making my job very cumbersome as the client files were incomplete.
Advice to Management
I have been involved in life insurance and annuity compliance for over 20 years and my latest position I was a jack of all trades. I audited our TPA's, performed corporate filings, product filings and development, complaint responses, advertising review and market conduct exam coordinator.
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