Title: Senior Compliance Analyst (Hybrid or Remote)
Salary: Competitive for Role
SUMMARY: a major Investment Life Insurance firm, with an "excellent" AM Best rating, is seeking a Senior Compliance Analyst. In this role, you'll: analyze and ensure products, procedures, contracts, and services comply with state and federal laws, rules and regulations and company standards related to the sale and administration of AEL annuity contracts; support the development, implementation and management of a compliance oversight program; commit to operating with integrity and prioritizing the customer first.
Key Responsibilities:
- Provide direction and support on compliance issues regarding the distribution of annuity products and build strong relationships with the Sales Team;
- Work cross-functionally to help analyze impact of proposed and enacted regulations on existing policies, translate requirements to our business partners, and recommend improvements in a way that positions sales compliance as a competitive advantage;
- Assist with the design and documentation of compliance function activities;
- Help develop and maintain compliance related documentation, policies, procedures, and trainings/educational materials.
-Develop and oversee a testing program for current and potential distributors.
Key Qualifications:
- Bachelor's Degree in a related field required*;
- 3-5yrs of relevant experience in compliance/operational risk management required*;
- Series 6/26 (preferred);
- Understanding of general annuity compliance and related topics, such as: process review, controls, and risk management;
- In depth understanding of Department of Labor Investment Advice standards and related exemptions;
- Ability to maintain awareness of new laws, regulations and models that impact the distribution of annuity products;
- In depth knowledge and understanding of insurance business, specifically annuities.
Benefits/Perks:
* Great benefits, including: 401K; 10% discretionary bonus; work from home flexibility/a hybrid work model; potential to work remotely.
Interested in this role? Apply for immediate consideration.
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Senior Compliance Analyst - Sales and Operations
- Location United States of America
- Job-type Permanent
- Salary Negotiable
- Discipline Regulatory
- Reference PR/371547_1659112630