Job Board

Company Name:  Legal & General America

Company Location(s): Frederick, MD

Job Title: Compliance Analyst

Job Description: The Compliance Analyst is responsible for maintaining producer red flag guidelines and revising these guidelines in partnership with Licensing and Distribution when necessary.  They will evaluate and decision Compliance escalated producer appointment requests, documenting their review and regularly preparing reports to Management on volumes and emerging trends.

Job Requirements:

• Producer Appointment Review
• Producer Audits
• Process Improvement
• Producer Disciplinary Review, Management Information / Reporting
• Compliance Training
• Regulatory Engagement and Reporting

Click HERE to apply!

Company Name:  Wellabe

Job Title: Senior Compliance Analyst

Job Summary:  The Senior Compliance Analyst is responsible for researching and analyzing applicable legislation and regulations; administering the organization’s compliance programs, including record retention and anti-money laundering (AML); and general product and advertising compliance support, including assisting in the development and filing of insurance products, advertising reviews; and other general compliance functions.

Essential Functions:  Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions.

• Assist in researching and analyzing statutes, regulations, and case law to communicate trends and action plans to leaders and impacted business units. Assist in researching trade association and department of insurance publications.
• Review corporate policies, procedures, and processes for compliance with applicable federal and state regulatory and statutory requirements.
• Review the organization’s marketing materials for compliance with applicable laws and file as necessary.
• Support product development and form and rate filings.
• Support the development and administer assigned compliance programs to ensure compliance with applicable federal and state regulatory and statutory requirements.
• Partner with the organization’s AML Compliance Officer as assigned.
• Prepare and file reports to regulatory bodies.
• Conduct research and render compliance guidance to business teams.
• Conduct preliminary research into allegations, policy language, and make recommendations to management regarding response to claims, new business, and customer service legal actions and complaints.
• Train, mentor, support, and develop less experienced compliance analysts by providing advice, coaching, and educational opportunities.

Performs other related duties as necessary or assigned.

Success Profile:  Knowledge, Skills and Abilities

• Demonstrate the Wellabe core competencies of change, communication, customer focus, financial acumen, innovation, teamwork, critical thinking, and decision making. For a full description of each competency, please visit wellabe.com/core-competencies.
• Embrace and foster a diverse and inclusive culture that aligns with our commitment to THRIVE together. Toolkit: We are building resources for employee reference, including a diversity driven book club, leadership training, and a culture of betterment philosophy. Hear: Every employee has a voice. We listen with attention to gain knowledge and to understand. Respect: We empower people by respecting and appreciating their differences. Inclusion: We support a collaborative workforce that promotes belonging and respect that increases participation and contribution from all employees. Value: All employees are appreciated for their uniqueness. Equity: For all.
• Demonstrate an Agile mindset* of trust, teamwork, and transparency and capability to implement agile tools into daily work, allowing for quick adaption to change. (*An agile mindset is the set of attitudes supporting an agile working environment including trust, teamwork, transparency, respect, improvement, ongoing learning, pride in ownership, focus on delivering value, and the ability to adapt to change.)
• Embrace our culture of betterment, which surrounds the question: Does this decision fit with our mission and core values while enhancing the outcome for our customers, our business, and our associates.
• Advanced knowledge of the principles, processes, and practices related to legal and compliance functions.
• Strong verbal and written communication skills with the ability to respond effectively to both internal and external customers.
• Ability to establish effective relationships and gather information needed to meet customer expectations.
• Intermediate knowledge of MS Office Suite (Excel, Word, and PowerPoint).
• Advanced project and people management skills.

Education:

• Bachelor’s degree in related field. Combination of education and/or relevant work experience may be accepted in lieu of degree.

Experience:

• 3+ years’ insurance compliance experience required, including legislative tracking, preferably within the life insurance and annuities sector.

Click HERE to apply!

Company Name:  Modern Woodmen of America, Inc.

Job Title: Compliance Associate

Job Summary:  Modern Woodmen of America is looking for a detail oriented and analytical individual to support our Compliance Manager in ensuring that the organization adheres to all regulatory requirements and internal policies and carries out appropriate risk management. The Compliance Associate position is designed as a deputy role, providing the necessary training and experience for the Compliance Associate.

Essential Functions & Responsibilities:

• Assist the Compliance Manager with the development, implementation, administration, and maintenance of Modern Woodmen’s compliance programs and initiatives.
• Support the creation of internal policies and procedures to ensure they comply with regulatory requirements.
• Collaborate with various departments to ensure compliance with internal policies and external regulations.
• Work cross-functionally to assist in development and implementation of compliance strategies that align with Modern Woodmen’s business strategy and goals.
• Aid in the investigation, resolution, and reporting of compliance issues, including privacy, fraud, and suspicious activity matters, and complaints, including escalated member and field representative concerns.
• Manage the workflow and communication with state insurance department examiners during market conduct and regulatory compliance exams.
• Oversee the preparation and submission of regulatory filings and reports.
• Monitor advertising and social media review for home office and field created materials and posts.
• Closely contribute to the development of compliance-related communications and training materials.
• Maintain up-to-date knowledge of regulatory changes and industry best practices.
• Participate in project teams as assigned.
• Perform other duties as requested.

Education & Experience:

• Bachelor’s degree in law, business administration, finance, or a related field preferred. Equivalent combination of education, training, and experience will be considered.
• 5 years of experience in a compliance role within the life insurance or financial services industry preferred. Similar experience in an advisory, compliance, or legal services role or related field will be considered.
• Professional compliance certifications preferred (e.g., LOMA Fellowship, AIRC designation, FINRA SIE, Series 6 & 26), or must be obtained within 3 years. Additional relevant certifications may be expected based on needs of the business.
• Strong understanding of regulatory requirements and compliance best practices and their importance.
• Ability to read, analyze, and interpret regulatory prose as well as general business protocols.
• Excellent analytical, reasoning, and proven problem-solving skills.
• Strong written and verbal communication skills.
• Ability to work independently and as part of a team.
• High level of integrity and attention to detail.

Click HERE to apply!

Company Name:  Homesteaders Life Company

Company Location(s): West Des Moines, IA

Job Title: Chief Compliance Officer & Assistant General Counsel

Job Description:As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life Company’s business operations. You will be responsible for corporate compliance programs, and identifying, monitoring and coordinating company responses to proposed and enacted regulations/legislations. You will assist the EVP General Counsel with corporate legal matters including research, litigation work, corporate records and contracts. This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. Additionally, this role with work with the CISO in Cybersecurity compliance and ERM matters.

Responsibilities: 

• Identify and monitor key state and federal legislation impacting the company and its operating departments and prepare written responses as necessary
• Identify, monitor and assist in coordinating the actions taken by regulatory agencies, attorneys, association representatives and lobbyists engaged to represent our interests, and coordinate these actions with other preneed insurers and industry efforts.
• Responsible for the compliance activities of the company’s operating departments, including research, and advice regarding compliance matters and maintains related research and documentation.
• Prepares written testimony and position papers for submission to legislative bodies, state insurance departments, and other regulatory agencies.
• Point person for compliance functions in government relations with other companies, other company personnel and departmental personnel.
• Performs primary research on compliance and state regulatory issues. Maintains and updates appropriate data bases impacted by changes.
• Heads up the Company’s fraud investigation and reporting unit, including the monitoring of regulatory changes and meeting reporting requirements. Prepares the response to all legal inquiries regarding fraud claims, reviews of possible fraud claims, false death claims and investigation of possible problems with agent defalcations.
• Prepares briefs, on issues researched, to various entities for the purpose of making subsequent decisions.
• Assists in the drafting of agreements and other legal documents for all departments within the company including marketing agreements, agent contracts and commission schedules.

Requirements:

• Education: Possess a Juris Doctor (JD) degree and have successfully passed the Iowa Bar Exam.
• Experience: 10+ years of experience in in-house legal/compliance, preferably with insurance company.  Possess the ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret complex and potentially conflicting data from a variety of sources. Government relations experience preferred.
• Communication skills: Must have excellent written and oral communication skills and the ability to write in a clear and consistent manner.
• Computer skills: Proficient in using Microsoft Outlook, Word, Excel. Perform legal and compliance research on the web.
• This position is a home office position.

Pay and Benefits Summary:

• An excellent schedule – office closes at 1 p.m. every Friday
• 401(k) with company match with discretionary annual profit sharing contribution
• Short term incentive plan for officers
• Company-sponsored group medical and dental insurance
• Company-paid life insurance
• Company-paid long-term disability

About Homesteaders: 

Homesteaders Life Company is part of a mutual holding company system and is owned by its policy holders. We are a national leader providing products and services to help people design a better farewell. Founded in 1906, Homesteaders is known for secure preneed funding and innovative solutions that help funeral and end-of-life professionals and consumers connect with each other.

Click HERE to apply!

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