Job Board
The Job Board is a free resource for our Members. Only CEFLI Member Companies may request Compliance or Ethics positions be posted. Job vacancies are available for viewing by the general public.
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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!