Job Board

The CEFLI Job Board is a free resource provided to our CEFLI Members. Only CEFLI Members may post a job vacancy to the CEFLI Job Board.
Job vacancies are available for viewing by the general public.

For Information on how to submit a job vacancy please click here or send job details to Mallory Bennett via email: MalloryBennett@cefli.org.


Current Postings:

THE BALTIMORE LIFE INSURANCE COMPANY
 
Job Posting Number: 346
Job Title: AVP, Compliance
Dept.: Risk Management
Job Type: Full Time, Exempt
 
Major Duties and Responsibilities:
Establish and modify rules and procedures related to market conduct and compliance.  Direct related activities of the Baltimore Life Insurance Company and integrate compliance functions throughout the organization, so as to assure product and producer compliance with insurance regulations and laws as well as Company rules and guidelines.
 
1. Manage compliance staff, assuring resources are used in a way that supports corporate objectives.
2. Interpret new and existing laws and regulations and form recommendations for compliance in ways that are appropriate for Baltimore Life.
3. The candidate will have significant experience with the compliance issues associated with traditional life insurance products (eg. for life and fixed annuities).
4. Communicate the impact of new laws and regulations and oversee change management when policies and procedures require revision.
5. Develop, implement and maintain Company policies and procedures related to Market Conduct and Compliance.  
6. Provide training and support to business units to assure company practices comply with laws, regulations and Company rules.
7. Oversee the compliance audit program and monitor related corrective action activities.
8. Manage market conduct exam activities.
9. Maintain an active presence in appropriate industry associations to stay informed of changes in the marketplace, to network, and to stay abreast of best practices.
10. Experience with SERFF and product filing and development a plus.  
 
Skills and Qualifications:
This individual must possess a thorough knowledge of the insurance business, industry and products.   The ability to approach difficult issues tactfully but firmly is critical to the success of this individual. The ability to think strategically as well as tactically is required. The right candidate should also have familiarity with traditional compliance tools (Word, Excel, PowerPoint, etc.), as well considerable experience with regulatory research and analysis. Familiarity with compliance related solutions is also recommended. He or she must have outstanding organizational and communication ability and work well under pressure.  The individual must also exhibit a professional and calm demeanor and maintain a high level of integrity and credibility.  Given the confidential nature of many of the issues that are addressed in this area, this individual must possess the ability to maintain the confidence of senior management and the Board of Directors.  
 
Education and Experience:
BA, BS and 10 years of life insurance compliance work, and at least 5 years in a management role. Law degree is a plus, but not required. Advanced industry designation such as CLU and/or FLMI helpful.
 
Work environment:
This position functions within an air-conditioned office building where smoking is prohibited. This position functions in a high-pressure environment to meet deadlines. 40 hours minimum per week required.
 
 
Contact: Colleen Cornwell 410-581-6641 colleen.cornwell@baltlife.com
 

 
LOMBARD INTERNATIONAL
 
Job Title: Title: Market Conduct & Compliance Specialist
 
Position Summary
Lombard International seeks a highly organized, detail-oriented Market Conduct & Compliance Specialist for our Philadelphia, PA office. Working within the Compliance team, the Specialist performs a range of substantive duties on behalf of the firm’s insurance and securities related entities.
 
 
Responsibilities Include:
Interpret new and existing laws and regulations, communicate them to others and form recommendations for compliance in ways that are appropriate for applicable entities
Assist with the testing and documentation of the effectiveness of various compliance manuals, procedures and programs
Prepare and review insurance and/or securities regulatory filings
Assist with regulatory exams and inquiries
Review marketing material
Provide market conduct and compliance training and support to various departments
Assist with other projects and tasks as assigned
 
Requirements:
  • Paralegal certification and/or a Bachelor’s Degree in business or a related field
  • Project management and/or business analyst experience  (ability to maintain and develop templates, checklists, and project management and business analysis tools)
  • Advanced aptitude with traditional (Word, Excel, PowerPoint, etc.)  and corporate (e.g. registered agent, annual report and good standing) compliance tools
  • A minimum of 3 years market conduct and/or compliance experience with knowledge of insurance model regulations, securities laws, state laws and regulated business environments
  • FINRA Series 6 plus 26 registrations or ability to obtain within nine months
  • Proven organization, time management and communication skills with attention to detail and the ability to effectively interact with various levels using independent judgment and discretion
  • Occasional travel up to 10% of time may be required
 
Desired Skills and Experience:
  • Knowledge of insurance business and compliance issues associated with variable life and annuity insurance products; advanced insurance industry designation such as CLU and/or FLMI helpful
  • Considerable experience with regulatory research and analysis
  • Active presence in (or ability to develop)  industry associations to stay informed of changes in the marketplace, to network, and to stay abreast of best practices
  • Demonstrated ability to identify issues, assess and mitigate risk and think strategically
  • Professional and calm demeanour and high level of integrity and ethics
Apply here.
 

PRIMERICA LIFE INSURANCE COMPANY

Job Summary:
The Compliance Officer maintains the monitoring and testing programs for the Corporate and Insurance Compliance department to ensure compliance with insurance laws, regulations and company policies.  This role conducts operational assessment testing, works closely with senior management, departmental managers and staff and will consult with the Insurance Chief Compliance Officer and staff to ensure regulatory key risks are properly identified, control risks are properly mitigated, and testing of the controls are effective.

 

Essential Functions:      

  • Monitor the overall control environment for various departments within Primerica Life and National Benefit Life
  • Determine with Management the key regulations and risks to the business and obtain legal signoff
  • Coordinate with the Insurance Chief Compliance officer to ensure that the Regulatory Risk Matrices are developed and maintained
  • Ensure tests are performed properly and results are recorded and reported in the Archer system in a timely manner
  • Report test results to the Insurance Chief Compliance officer, Senior Management in the other departments and to the Chief Compliance and Risk Officer
  • Validate that corrective actions were properly implemented and operating effectively
  • Assist with the Development of effective tests to ensure regulatory requirements are met
  • Manage the preparation of Regulatory summaries for reporting as requested by Compliance Officers
  • Work proactively with business management and operations support staff to ensure that compliance concerns/issues are addressed
  • Identify key risk and control issues within the departments
  • Assist in the implementation of Primerica projects as necessary
  • Assist with the review of Anti-Fraud Training Materials; and circulation and updating of Red Flag indicators
  • Assist with the development, monitoring and updating of corporate policies
  • Assist with Market Conduct Exams, Market Conduct Annual Statement (MCAS), filing and other regulatory inquiries, as needed

 

Knowledge, Skills and Abilities:

  • Bachelor’s degree (prefer MBA in business or accounting or CPA)
  • Minimum of 5 years working experience in audit, finance or compliance (may be concurrent)
  • Assertive and strong written and verbal communication skills
  • Ability to communicate with senior management
  • Strong analytical skills
  • Organizational skills, flexibility and the ability to work on numerous projects concurrently
  • Ability to handle multiple and changing priorities
  • Experience with using automated system for managing risk controls (experience with Archer is a plus)

 

Company Information:

Since 1977 Primerica has been a Main Street Company for Main Street North America. Our mission is to create more financially independent families. Led by CEO Glenn Williams and President Peter Schneider, our 2,000 employees are proud to be an integral part of achieving Primerica's goal to help families become financially independent.

Primerica employees support our representatives as they provide education and financial solutions to their communities through term life insurance, mutual funds, annuities and other financial products. We insured approximately 5 million lives and have more than 2 million client investment accounts. Our competitive salaries, award-winning benefits package, and employee recognition programs are just a few of the reasons our average employee tenure is 13 years.

Our stock is traded on The New York Stock Exchange under the symbol “PRI.”

APPLY HERE!


PROTECTIVE LIFE INSURANCE COMPANY
Job Title: Compliance Audit Director

Job Summary:

Under general supervision of the Corporate Compliance Manager, perform risk-based evaluations of regulatory compliance, adherence to policies and procedures, and operational effectiveness for all departments and lines of business through the timely execution of compliance audits in accordance with the Annual Compliance Audit Plan or on an ad-hoc basis.

This position will lead and manage a team to ensure compliance with regulations, policies and procedures by examining and analyzing records, reports, operating procedures and documentation. As a result, this position will work with management by recommending opportunities to strengthen the internal compliance control structure.

This position must clearly communicate audit results to management via written and oral reports. Support the development and completion of corrective action plans by department leadership to ensure identified risks are addressed. Conduct organizational and line of business-specific risk assessments to support the creation of the annual compliance audit plan.

Job Responsibilities:

  • Ensure execution of a risk-based compliance audit program
  • Identify and evaluate existing and trending risks which may impact the Company’s compliance position and the Company’s success 
  • Work with the Compliance Management team and Internal Audit Management to develop a companywide Annual Compliance Audit Plan.
  • Update, and maintain internal compliance risk register, work-plans and work-papers that consider the company’s size, growth, and risk tolerance, as well as, regulatory changes and examiner focus.
  • Manage and develop the compliance audit staff to ensure compliance audit quality remains effective, efficient, and of high standards 
  • Review compliance audit staff fieldwork and draft risk focused audit reports. 
  • Effectively communicate compliance audit results, key indicators and regulatory reports to all levels of management.
  • Work with Line of Business Managers, Compliance Management, and Risk Management to ensure corrective action for compliance audit findings is understood and implemented appropriately 
  • Work on confidential, high priority projects (such as acquisitions and mergers) as assigned. 
  • Maintain proficient audit and regulatory compliance knowledge of all lines of business.
  • Assist in the coordination and completion of external regulatory audits, as needed, including testing business remediation efforts.
  • Other duties as may be assigned. 

Minimum Qualifications:

Education:

Graduate of a four-year college with a Business, Finance, or Accounting Degree.

Qualifications:

  • A strong technical background within financial service - significant life insurance, compliance, and auditing experience is preferred. 
  • Minimum 5 years in Regulatory Compliance or auditing /testing. 
  • Certified Regulatory Compliance Manager (CRCM) or other regulatory certifications preferred (see below)
  • Prior leadership experience 
  • Ability to be flexible and adaptable to an ever changing regulatory environment and growing financial institution 
  • Excellent interpersonal, oral, and written communication skills. 
  • Ability to read, interpret, and simplify technical and complex regulatory information 

Computers and Technology: Proficient in Microsoft Office Suite, with a heavy emphasis on Microsoft Excel. Proficient in the use of Audit Control Language (ACL) preferred.

 

Other Certificates, Licenses and Registration: Certified Public Accountant (CPA), Certified Internal Auditor (CIA), and/or Certified Fraud Examiner (CFE), strongly preferred.

APPLY HERE!

 


ARIZONA DEPARTMENT OF INSURANCE
Job Title: Executive Director of the Arizona Guarantee Funds

The Arizona Department of Insurance is seeking a seasoned professional with expertise in insurance, finance and law, to direct, manage, administer and supervise all operations of the Arizona Life and Disability Insurance Guaranty Fund and the Arizona Property and Casualty Insurance Guaranty Fund (“Arizona Guaranty Funds”).  Collectively, the Arizona Guaranty Funds act as a safety net for Arizona citizens and businesses covered by insurance policies issued by an insurer that becomes insolvent.  The Arizona Guaranty Funds step into the shoes of insolvent insurance companies to pay obligations within statutory limitations.  Each of the Arizona Guaranty Funds is administered by a board established within the Arizona Department of Insurance. The Executive Director executes the powers and duties of each fund in accordance with the board’s plan of operation.

APPLY HERE!