Job Board

The CEFLI Job Board is a free resource for CEFLI’s Members.  Only CEFLI Member Companies may request Compliance or Ethics positions be posted to the CEFLI Job Board.  Postings remain on the site for 60 days.  Job vacancies are available for viewing by the general public.

Company Name:  National Life Group

Company Location:  Montpelier, VT or Dallas, TX

Job Description:  Compliance Director or Associate Director – Regulatory Guidance

Job Requirements:
Come join one of America’s fastest growing insurance companies. We are looking for talented Compliance professionals who can evaluate and address regulatory concerns while enabling business partners to innovate and grow.  This position will act as a liaison with state insurance department and other regulators as well as various business units to ensure compliance with applicable regulatory requirements.  The role will work closely with multiple business partners throughout the organization to coordinate and manage Company responses to market conduct examinations and regulatory interrogatories, audits, data calls, requests, and inquiries as well as provide internal regulatory guidance and advice on Company initiatives and projects. Additionally, this position will conduct business process reviews and compliance assessments, manage the annual regulatory reporting process, and support the Regulatory Change Management process by monitoring and communicating changes to existing state and federal insurance laws.  The main products handled by the Company are fixed life insurance, including indexed universal life insurance, along with living benefits, and annuities.

Skills & Requirements:

  • Proficiency in Microsoft Office Suite
  • Ability to work independently with demonstrated flexibility, curiosity, and resourcefulness
  • Effectively work in a team environment, closely collaborating with business partners
  • Ability to provide exceptional customer service through empathy, listening and understanding client needs
  • Demonstrate tact and professionalism and the ability to interact with leaders at all levels within the Company and with the Field
  • Ability to independently understand, interpret and communicate complex subject matters
  • Excellent written and verbal communication skills
  • Ability to work in a fast-paced environment, with a high degree of accuracy
  • Ability to maintain confidentiality on sensitive matters
  • Project leadership experience, including proven experience successfully planning and executing a project from start to finish
  • Strong organizational, time management, qualitative, and analytical skills
  • Ability to think and execute at both a strategic and operational level
  • Advanced problem-solving skills demonstrating ability to independently evaluate and analyze complex issues
  • Recommend well thought out and creative solutions to create or increase efficiencies and reliability while enhancing processes and optimizing customer experience
  • Must be able to pass a background check Education & Experience
  • Bachelor’s degree, required, Advanced degree preferred
  • 10+ years industry experience, with 7+ years compliance-related experience across multiple disciplines
  • LOMA certifications preferred, specifically the AIRC designation
  • Experience in handling regulatory matters in a Compliance setting
  • In-depth knowledge of insurance laws and regulations, including product knowledge of fixed life and annuities
  • FINRA Series 7 and 24 registrations, preferred.

Click HERE to apply!

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Company Name: Venerable Insurance and Annuity Company

Company Location: Des Moines, Iowa

Job Description: Director, Compliance Risk Management

Job Requirements:

  • Design and monitor control systems to address violations and/or weaknesses of internal policies and procedures to ensure compliance with regulatory requirements and internal standards.  This may also include review of current, or development of new policies and procedures using a risk-based perspective to assist the business in making good strategic decisions.
  • Execute and oversee annual and periodic testing programs.
  • Lead efforts to ensure effective controls are in place within the business procedures and that key risks are identified and mitigated.
  • Monitor changes in FINRA and NAIC/state regulations and industry best practices, ensuring compliance policies and procedures are updated accordingly.
  • Advise senior leadership across the organization in carrying out their governance and oversight responsibilities in compliance with prevailing regulation, applicable laws, policies, and best practices.
  • Conduct in-person and virtual inspections at branch offices and TPA service centers to assess compliance with regulatory requirements and internal policies.
  • Coordinate follow-up and analysis of testing to include creation of management reporting, formal reports, and metrics to support validation of mitigation strategies.
  • Manage regulatory requests as it relates to market conduct examinations, interrogatories, audits, data calls, requests, and inquiries including required quarterly and annual regulatory reports.
  • Update and file the firm’s Form BD
  • Correspond with and foster positive relationships between Compliance and our internal and external business partners, including state and federal regulatory agencies.
  • Review advertising material to ensure compliance with applicable industry rules (i.e., State, FINRA, & SEC) and firm policies and procedures to include any required regulatory submissions.
  • Correspond with and foster positive relationships between Compliance and our internal and external business partners, including state and federal regulatory agencies.
  • Promote compliance awareness by producing timely compliance training, presentations, communications, and notices that reinforce our regulatory requirements and align with Venerable policies.
  • Manage and provide direction to team of compliance professionals giving work direction, guidance, training, performance feedback, and making hiring and termination decisions.  Accountable for the team’s performance and results within the compliance function.

Skills & Requirements:

  • Bachelor’s degree or equivalent work or other educational experience.
  • 5+ years of experience in Compliance, Internal Audit, Risk Management Operations areas, or related field.
  • Extensive knowledge of insurance (life and annuities) and securities products, and applicable federal and state regulations.
  • FINRA Series 6 and 26 and/or Series 7 and Series 24 required.
  • State life insurance producer license is strongly preferred.
  • Experience conducting inspections at branch offices and performing audit testing with demonstrated mastery of compliance risk management concepts, frameworks, methods, and good governance practice.
  • Excellent analytical and problem-solving skills, with keen attention to detail.
  • Ability to work independently and collaboratively in a fast-paced environment.
  • Strong leadership abilities, with experience in leading and mentoring a team.

Click HERE to apply!

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Company Name: Protective Life Corporation

Company Location: Birmingham, Alabama

Job Description: Compliance Data Analyst

Job Requirements:

The Compliance Data Analyst, is responsible for mining/extracting data and analyzing the same to help identify existing and emerging risks to help ensure compliance with regulatory requirements and with company policies and procedures.  As an analyst and internal consultant, your responsibilities include quantitative analytics, data visualization, research design, and consulting.  You report directly to the Corporate Compliance Officer and will work closely with compliance management and staff. You will also work closely with members of the Enterprise Data Services Team, IT Application Teams, and business leaders across the company to help identify quantitative methods utilizing data to generate compliance trend reports and analysis.
Your role is to analyze, model, test, build, and communicate analyses that lead to data-driven recommendations.  You possess sound business acumen and analytical skills and are a trusted resource who can smoothly and authoritatively explain insights from the data to executives to help identify issues, proposed solutions, and decision-making.  You are forward-thinking – a stalwart supporter for predictive analytics, as such, you enjoy constantly learning and growing your analytical and data science skills.
  • Lead the utilization of data analyses, visualizations, and predictive analytics in order to ensure we develop and maintain standard reporting to develop a repository of usable metrics reports.
  • Evolve existing and newly developed set(s) of reports to include data analytics and provide stakeholders with trends and insights.
  • Be a constant learner, active listener, teacher, and coach; advancing the practice of analytics and enabling compliance staff and business leaders to become more data-savvy.
  • Seek to identify and understand regulatory compliance requirements and help frame them into actual research questions that can be answered with data.
  • Bring together internal data, as well as external data and research, to help our business leaders understand and act on compliance issues.
  • Promote a risk-aware culture when it comes to data. Keep on top of changing requirements and practices for maintaining ethical data handling.

Skills & Requirements:

  • 2-5+ years related experience in a business analytics role
  • Experience in the financial services industry is a plus
  • Bachelor’s Degree in a related field; MBA or advanced professional degree with a focus in data analytics, mathematics, computer science, statistics, or social science a plus
  • Advanced skills with Microsoft Excel, and tools such as Tableau, Pyramid and/or Self Service BI with the ability to manage/manipulate large datasets
  • Experience with cloud-based analytics software a plus
  • Ability to intuit, understand and communicate the meaning of analyses to a range of technical and non-technical audiences in both strategic and operational roles
  • Excellent analytical and problem-solving skills, including the ability to disaggregate issues, identify root causes, and recommend solutions
  • Excellent judgement and trustworthiness with the ability to handle sensitive and confidential information discreetly
  • Strong people skills, including the ability to work independently and cooperatively in a diverse group, as well as network, influence, and engage leaders across all levels

Click HERE to apply!

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