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Company Name: Aspida Life Insurance Company

Location: Durham, North Carolina

Job Title: Broker-Dealer Compliance Analyst

Job Summary: Aspida is seeking a skilled, self-motivated and independent compliance professional for the role of Compliance Analyst.  The Broker-Dealer Compliance Analyst is an individual contributor position that will take the lead as a Subject Matter Expert (SME) during conversations with internal business partners regarding various compliance issues and act as a mentor to new employees.  Reporting to the Chief Compliance Officer, this a hybrid role and required to be on-site 3 days a week at our headquarters in Durham, NC.

What You’ll Do

• Act as a Subject Matter Expert (SME) in compliance matters involving variable product & marketing content requirements with FINRA and state insurance departments.
• Lead conversations regarding compliance issues and proactively identify potential risks or areas for improvement.
• Monitor FINRA company governance requirements and inform senior management of changes to the company governance documents as the need arises.
• Work with business partners to solve complex compliance related questions and/or problems.
• Assist in the development of Compliance training programs for the organization.
• Collaborate with other team members to develop or enhance policies and procedures to capture workflow efficiencies.
• Monitor developments in the areas of AML, Fraud and consumer Complaints.
• Assist with the preparation of more complex non-financial regulatory filings in a timely manner; accurately review and prepare FINRA required filings, state regulatory reports and other regulatory filings.
• Respond to inquiries from regulatory authorities, data calls and complaints.
• Participate in internal audits, compliance reviews, and other activities to evaluate the effectiveness of organizational compliance controls.
• Draft and update compliance policies, procedures, and reporting mechanisms to ensure ongoing compliance with legal and regulatory requirements for all jurisdictions in which the company operates.

Who You Are

• Bachelor’s Degree in Business, Risk Management or Insurance; or equivalent combination of education, training & experience.
• 5 or more years of experience in a Compliance function in financial services or insurance, prior leadership experience a plus.
• Strong understanding of State regulatory requirements for fixed and variable annuity products, as well as SEC & FINRA requirements for registered products.
• Professional Insurance Designation or working towards a designation (one or more of the following: ACS, AIRC, FLMI, CAMS).
• Series 6 or 7 registration or the ability to complete within 6 months of date of hire.
• Ability to work independently, manage multiple priorities, and take ownership of tasks and projects.
• Self-motivated with a strong attention to detail and a commitment to upholding the highest ethical standards.
• PC skills to include proficiency in Jira, Confluence, Microsoft Word, Excel and PowerPoint
• Critical thinking ability to use logic, reasoning and problem solving to identify best practices, alternative solutions, conclusions or approaches to challenges.
• Proven experience in drafting and filing fixed and variable annuity contract forms with the Compact & State regulators.
• Prior experience with reviewing and analyzing multiple complex data sources and document data elements, data flow, relationships and dependencies.

Click HERE to apply!

Company Name:  Symetra Life Insurance Company

Location: Bellevue, Washington; Remote

Job Title: Senior Compliance Analyst

Job Summary:  

In this position, you will provide both product filing and operational compliance support for the Retirement (annuities) Division. You will identify and assess compliance issues, developing recommendations to promote long-term, disciplined growth. Additionally, you will consult on state filings strategy, preparing filing materials accurately and promptly.

You will offer superior analytical and project management support for nationwide initiatives, including conducting research, presenting recommendations to senior analysts or the leadership team, and assisting in implementing solutions. Collaboration with other departments will be frequent to ensure our products remain compliant and competitive.

Additional duties include developing and maintaining training materials and procedures, managing annual filings, implementing regulatory forms, and reviewing forms and marketing materials for state filings as appropriate.

Requirements:

• Typically 8+ years compliance experience
• College degree or equivalent experience
• Broad understanding of business operations and of the related legislative, regulatory, and in-house company policy requirements associated with them
• Experience with product development and rate and form filings for individual life and annuity products
• Able to affect change in business team practices through personal influence and negotiation skills
• Able to lead projects within and outside the compliance department
• Direct experience with preparing and submitting filings in SERFF / APPIAN
• Prior experience reading contracts, statutes and regulations and comprehending key points/implications for the business with minimal managerial oversight
• Strong organizational/analytical and problem-solving skills, ability to manage multiple tasks and priorities
• Outstanding verbal and written communication skills with a strong ability to communicate effectively across all levels and partners
• Comfortable with technology and learning new systems and platforms – strong MS Office Suite software skills and proofreading
• Detail oriented self-starter able to conduct complex analysis with general direction
• High school diploma required

Click HERE to apply!

Company Name:  Pacific Life

Location:  Newport Beach, CA

Job Title: Senior Compliance Analyst

Job Summary:  

Providing for loved ones, planning rewarding retirements, saving enough for whatever lies ahead – our policyholders count on us to be there when it matters most. It’s a big ask, but it’s one that we have the power to deliver when we work together. We collaborate and innovate – pushing one another to transform not just Pacific Life, but the entire industry for the better. Why? Because it’s the right thing to do. Pacific Life is more than a job, it’s a career with purpose. It’s a career where you have the support, balance, and resources to make a positive impact on the future – including your own.

We’re actively seeking a talented Senior Compliance Analyst to join our Distribution & Marketing Compliance Team in Newport Beach, CA.

As a Senior Compliance Analyst you’ll move Pacific Life, and your career, forward by supporting the Consumer Markets Division (CMD) business unit in reviewing and approving marketing and sales material, providing regulatory consultation, and providing solutions to help meet the business needs and regulatory requirements. You will fill an existing role that sits on a team of eight people in the Office of the General Counsel division.

Requirements:

• 4-year degree
• 5 years experience in compliance field.
• Excellent written and verbal communication, along with a professional and collaborative demeanor.
• Leadership abilities, including interpersonal savvy, courage, decision quality, driving engagement and resourcefulness.
• Proficient computer skills, including Microsoft Office products, SharePoint, MS Teams.
• Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
• Use best practices and knowledge of internal or external business issues to improve products or services.
• Ability to solve complex problems and develop new perspectives using existing solutions.
• Comfortable working both independently with minimal supervision and open to collaborating with team and other Office of the General Counsel teams when necessary.

Click HERE to apply!

Company Name:  MassMutual
Location(s):  Springfield, MA, Boston, MA or New York, NY
Job Title: Lead, Insurance Product Compliance

The Opportunity:

As a Lead, Insurance Product Compliance, you will be a part of a dynamic and collaborative team that supports a broad swath of the business on compliance issues. Specifically, this role will provide new business/underwriting with guidance on potential compliance risks and solutions. This may involve consulting on financial underwriting standards and individual underwriting case decisions as well as artificial intelligence and algorithmic underwriting models.

The Lead, Insurance Product Compliance will also collaborate with various stakeholders including Advanced Sales, Enterprise Risk Management, Corporate Audit and Legal in identifying potential compliance risks arising from product design and establishing company policy applicable to sales concepts.

In addition to the above, the Lead, Insurance Product Compliance will perform data analysis of sales trends with a goal of identifying potential compliance risks and subsequently recommending properly tailored mitigating actions.

This position is based in Springfield, Boston or NYC and follows a hybrid work schedule.

The Minimum Qualifications:

• Bachelor’s degree and 10+ years of compliance (or related) experience required.
• 5+ years’ experience with relevant insurance regulatory compliance programs

The Ideal Qualifications:

• The ability to work independently.
• Experience with various standards of conduct regimes including DOL fiduciary, NY Reg 187 and NAIC Suitability in Annuity Transactions Model Regulation
• Advanced Degree (e.g. JD) and 15+ years experience preferred.
• Exceptionally strong business acumen.  The successful candidate must be able to clearly and effectively communicate compliance issues to business partners (including senior business partners) and to influence business decisions.
• Exceptional written communication skills.
• Strong analytical abilities that can assess both risks and the effectiveness of compliance controls.

If interested, please contact:

Lauren Cosentino, Executive Recruiting
LCosentino61@massmutual.com
(914) 400-5609

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