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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Regulatory and Compliance Specialist
Company: WiltonRe
Job Title: Regulatory Compliance Specialist
Location: Norwalk, Connecticut | Hybrid Structure
About the Role. The Regulatory Compliance Specialist will support the Compliance Department generally to ensure the U.S. based companies in the Wilton Re enterprise are in compliance with insurance laws and regulations. This position is primarily responsible for and will serve as the subject matter expert regarding regulatory and statutory changes. This will include reviewing changes to the law, determining applicability, creating a summary, and distributing to relevant business units and parties. The Regulatory Compliance Specialist may occasionally assist with responding to state insurance department data calls, managing the compliance calendar, conducting/assisting with internal reviews of documentation or processes, and ad hoc compliance projects.
What you will do
Track changes in laws and regulation using third party software, other research tools and advisories issued from regulatory authorities and trade groups.
Analyze and interpret legal and regulatory changes and identify the compliance requirements.
Take the lead role in communicating, implementing, and directing changes required by regulatory and insurance industry authorities, and later auditing processes to determine proper compliance.
Verify that all regulatory changes have been documented, implemented, and communicated to relevant internal and external parties.
Research and respond to regulatory and legislative questions from business units.
Maintain relationships with compliance teams within our insurance and reinsurance partners including third party administrators.
Work closely with Legal for interpretation of the laws and regulation and risk assessment.
Who you are
Minimum 3 years of experience in the legal or compliance department of a regulated entity or law firm representing regulated entities.
Strong analytical and problem-solving skills.
Demonstrated ability to manage multiple priorities and meet deadlines.
Communicate effectively and succinctly.
Ability to conduct regulatory and statutory research as required.
Proven ability to work independently and as part of a team.
Knowledge of life insurance products and operations preferred.
Bachelors degree in Finance, Economics, Risk Management, Legal Studies, or related field
Apply HERE
Compliance Analyst
Company: Nassau Financial Group
Job Title: Compliance Analyst
Location: Hartford, Connecticut
About the Role. Follow established procedures and guidelines for variable life and annuity product filings and documents delivery to ensure Nassau’s compliance with SEC regulatory requirements. Support other compliance matters for variable products. Assist with Anti-Money Laundering (“AML”) compliance activities and regulatory examinations. Requires 2 years of experience in related areas.
What you will do- Identify, investigate, mitigate, and report privacy incidents to the Company’s legal team for review.
- Perform analysis and enhanced due diligence for AML matters, including reviewing, logging, and filing federally required Suspicious Activity Reports when necessary.
- Support consumer data rights requests, including access, deletion, correction, opt-out, HIPAA individual rights, and protected person requests, ensuring timely investigation, documentation, and response.
- Maintain and update privacy notices, disclosures, cookie banners, and related consumer-facing materials to reflect current data practices, regulatory requirements, vendor relationships, and business changes.
- Assist in providing cookie governance oversight, including consent management platform reviews, cookie and tag inventories, preference signal testing, vendor coordination, and remediation of unauthorized or unnecessary tracking technologies.
- Assist in recurring risk and control testing, monitoring, sampling, reporting, and remediation planning to confirm that privacy, data rights, cookie governance, artificial intelligence, cybersecurity, AML, and other compliance processes related to the underwriting and administration of life insurance and annuity products are operating effectively.
- Serve as a compliance liaison for business partners across the organization on various compliance initiatives, providing guidance on regulatory requirements and impacts to data.
- Work with Communications and Learning and Development to promote awareness of Company AML, artificial intelligence, and privacy policies, emerging risks, and applicable new laws and regulations.
- Coordinate and produce metrics for oversight activities across AML, Privacy, Operations Compliance, and Regulatory Examinations.
Review new and pending legal and regulatory requirements for privacy, cybersecurity, and artificial intelligence introduced by applicable regulators. - Assist in maintaining departmental policies and procedures for the Company’s AML and Privacy programs.
- Perform other duties as assigned or required.
- Strong organization skills and able to manage multiple large/complex documents concurrently
- Knowledge of and experience in variable life and annuity products and related SEC requirements
- High level of diligence and great attention to details
- Proficient in Word, Excel, Adobe and PowerPoint
- Excellent written and verbal communication skills
- Ability to research and analyze non-routine problems
- Bachelor’s degree or equivalent required
Apply HERE
Assistant Regulatory Counsel
Company: Globe Life Inc.
Job Title: Assistant Regulatory Counsel
Location: McKiney, Texas (Hybrid)
About the Role. Could you be our next Assistant Regulatory Counsel? Globe Life is looking for an Assistant Regulatory Counsel to join the team!
In this role, you will be responsible for assisting with market conduct exams, coordinating with various internal departments, and monitoring and researching regulatory compliance issues related to insurance operations for the Globe Life family of companies. In addition, this position will also help in preparing summary analysis, drafting documents and making recommendations. Legal research and writing skills are critical and projects will include document review, drafting a variety of communications to both internal business units and external regulatory authorities and other duties.
This is a hybrid position located in McKinney, Texas (WFH Monday & Friday, In Office Tuesday-Thursday).
What you will do
- Assist with market conduct exams and similar state insurance department inquiries.
- Assist with Market Conduct Annual Statement (MCAS) Reporting, which includes collection and review of data from business units and interpretation of MCAS requirements, including implementation of any reporting changes from prior years.
- Be a liaison with state insurance departments.
- Assist with regulatory change management, including reviewing and apprising proposed legislation, regulations and bulletins.
- Assist with other regulatory reporting requirements.
- Provide prompt, professional advice to colleagues where necessary.
- Review regulatory change notifications received from third-party vendors, state insurance departments, industry sources, etc. and the distribution of relevant regulatory change notifications to applicable business units.
- Provide research and analysis of compliance issues pertaining to the Globe Life family of companies and provide interpretations regarding statutes and regulations.
- Conduct legal research inquiries when requested.
- Assist in the implementation of statutory and regulatory requirements when required.
- Perform other duties as directed or as situation dictates.
Who you are
- Juris doctor degree from an accredited law school.
- 3 to 5 years related work experience including experience in interviewing and document discovery.
- Licensed member in good standing with state bar.
- Ability to conduct accurate and organized research.
- Familiarity and efficiency with Westlaw.
- Excellent oral and written communication skills with competency in grammar, spelling and punctuation.
- Strong interpersonal and organization skills required.
- The ability to maintain strict confidentiality.
- Detail-oriented with demonstrated research, problem-solving, and analytical skills, including strong proofing ability and the capacity to analyze information and make logical conclusions.
- Ability to manage and prioritize multiple priorities and deadlines.
- Independent self-starter with the ability to work well both independently and in a team environment.
- Preferred but not required: familiarity with statutes and regulations impacting the insurance industry and corporations generally, prior experience working in a compliance department of a life or health insurance company.
Apply HERE
AML Compliance Analyst II
Company: Symetra
Job Title: AML Compliance Analyst II
Location: Bellevue, Washington (Fully Remote)
About the Role. Symetra is seeking an AML Compliance Analyst II to join the AML Compliance Department. This role supports the execution, maintenance, and continuous enhancement of the company’s Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) compliance programs, including support for affiliated entities and subsidiaries.
The AML Compliance Analyst II plays a critical role in identifying, assessing, and mitigating financial crimes risks across the organization while partnering closely with business, operational, and compliance stakeholders to ensure adherence to applicable regulatory requirements. This position is ideal for an experienced AML professional with a strong insurance background, exposure to high-net-worth and foreign national customer risk, and a demonstrated ability to leverage data analytics and technology to drive risk-based compliance outcomes.
What you will do
Support the implementation and ongoing administration of AML and OFAC policies, procedures, controls, and monitoring activities in alignment with regulatory requirements and industry best practices.
Conduct AML and sanctions-related investigations, including alert reviews, customer due diligence assessments, sanctions screening reviews, and suspicious activity investigations.
Prepare and document investigative findings, including recommendations for escalation, referrals, or Suspicious Activity Reports (SARs), as appropriate.
Analyze large and complex datasets to identify trends, anomalies, and potential financial crime risks using technology tools and reporting platforms.
Collaborate with cross-functional partners, including New Business, Operations, Technology, Legal, Risk Management, Special Investigations, Investments, and Finance, to ensure compliance requirements are effectively integrated into business processes and system designs.
Provide guidance and subject matter expertise to first-line business teams regarding AML, OFAC, sanctions compliance, customer risk factors, red flags, and escalation protocols.
Support risk assessments, control evaluations, quality assurance reviews, and program effectiveness initiatives related to financial crimes compliance.
Participate in enterprise-wide and compliance-led projects involving regulatory change management, process improvements, data governance, automation initiatives, and technology enhancements.
Monitor emerging risks and regulatory developments that may impact AML and OFAC compliance programs.
Escalate identified compliance risks, control gaps, or potential regulatory violations in a timely manner, providing clear analysis and actionable recommendations.
Maintain accurate and comprehensive records of investigations, analyses, and compliance activities in accordance with regulatory and company requirements.
Required Qualifications
Bachelor’s degree in Business, Finance, Accounting, Risk Management, Criminal Justice, Compliance, or a related field, or equivalent combination of education and experience.
Minimum of five (5) years of experience in AML, OFAC, sanctions, financial crimes compliance, or related regulatory compliance functions.
Experience supporting AML and OFAC programs within the insurance industry or another highly regulated financial services environment.
Knowledge of life insurance products and associated financial crimes risks.
Experience conducting AML investigations, sanctions screening reviews, customer due diligence, enhanced due diligence, risk assessments, controls testing, quality assurance reviews, and SAR filing activities.
Strong understanding of AML and sanctions regulations, including:
Bank Secrecy Act (BSA)
USA PATRIOT Act
FinCEN guidance
OFAC regulations
State insurance fraud and financial exploitation requirements
Demonstrated experience analyzing large datasets and utilizing technology-enabled tools to identify and assess financial crimes risks.
Excellent analytical, critical thinking, and problem-solving skills.
Strong written and verbal communication skills with the ability to communicate complex compliance matters effectively to diverse audiences.
Ability to manage multiple priorities and maintain attention to detail in a fast-paced environment.
High degree of integrity, professionalism, discretion, and commitment to ethical decision-making
Preferred Qualifications
Experience working with high-net-worth clients, foreign national customers, and enhanced due diligence programs.
Professional certification such as Certified Anti-Money Laundering Specialist (CAMS), Certified Financial Crime Specialist (CFCS), or equivalent.
Experience supporting technology transformation, data analytics, or compliance automation initiatives.
Familiarity with AML case management systems, sanctions screening platforms, and financial crimes monitoring tools.
Technical Skills – Advanced proficiency in Microsoft Office Suite, including:Excel
PowerPoint
Word
Teams
OneDrive
SharePoint
Experience with AML monitoring, investigations, sanctions screening, and case management systems preferred.
Ability to utilize data analytics and reporting tools to support risk identification and compliance monitoring activities.
Apply HERE
Advertising Review Manager (Corporate Compliance)
Company: OneAmerica
Job Title: Advertising Review Manager (Corporate Compliance)
Location: Indianapolis Tower, Indianapolis, IN (Hybrid)
About the Role. The Advertising Review Manager is an individual contributor within the Corporate Compliance department responsible for reviewing marketing and advertising materials to ensure compliance with company policies, state insurance regulations, and applicable FINRA and SEC requirements. This role supports a wide range of financial products and partners closely with business stakeholders to provide regulatory guidance and consultation throughout the marketing review process.
What you will do
Provide comprehensive analysis and guidance on advertising laws, regs, and complex compliance issues while reviewing and approving marketing material in a variety of medias including print, websites, social media, and more.
Evaluate compliance and business situations; communicate decisions to internal and external stakeholders, as well as management.
Ensure consistent policies are established and followed to minimize risk of non-compliance with company policy, state rules and regulations, and FINRA and SEC mandates including maintenance of documented disclosures, disclaimers, and company policies, regarding communication with the public.
Collaborate and consult with business partners to provide creative solutions, and strategic and operational recommendations for complex customer needs.
Ensure FINRA advertising filings are completed when necessary.
Build and maintain strong relationships with senior management, business partners, regulators, and key internal and external stakeholders.
Perform other job-related duties or special projects as required.
Required Qualifications
Bachelor’s Degree
FINRA series 7 and 24
6+ years of experience in insurance/securities compliance or broad legal and technical knowledge of laws and regulations of retirement, life insurance, retail annuities, investments, broker/dealer, and financial advisors, or a mix of knowledge on some of these products and services
Ability to influence cross-functional stakeholders and drive accountability without direct authority
Experience in insurance, financial services, or a regulated industry preferred
Excellent written and verbal communication abilities.
Ability to manage multiple priorities and meet deadlines.
Apply HERE
Senior Advertising Compliance Analyst - Life Insurance
Company: Transamerica
Job Title: Senior Advertising Compliance Analyst – Life Insurance
Location: Denver, Colorado, Cedar Rapids, Iowa, or Philadelphia, Pennsylvania (Hybrid)
About the Role. Independently review advertising, marketing, and communications materials to support compliance with company standards and applicable regulatory requirements. Apply broad knowledge of advertising compliance concepts and principles to evaluate complex materials to enable the organization.
What you will do
Independently review, analyze, edit and approve business-line advertising, marketing, and communications materials while researching and interpreting applicable regulatory requirements, guidance, and policy changes to ensure compliance with company standards and regulatory expectations.
Evaluate complex advertising submissions, identify regulatory and reputational risk, and determine appropriate remediation or escalation.
Provide guidance and support to business partners, sales, marketing, product teams, representatives, supervisors, and other stakeholders regarding advertising compliance standards.
Maintain required records, approvals, documentation, and evidence supporting advertising review activities in accordance with applicable recordkeeping requirements.
As applicable, determine whether advertising materials require regulatory filing and coordinate filings with state insurance departments, or other regulators as needed.
Identify, recommend, and help implement new or enhanced practices, procedures, tools, and controls to improve advertising review quality, consistency, workflow efficiency, and regulatory compliance.
Compile information for management, regulatory, or compliance reporting; perform analysis, identify trends, and follow up on opportunities for enhancement with minimal supervision.
Participate in regulatory examinations, internal reviews, and corporate audits related to advertising compliance; independently gather information, review documentation for completeness and accuracy, and assist with responses or remediation as needed.
Assist team members with research, assigned tasks, training, and knowledge-sharing; provide subject matter input on advertising compliance matters and escalations.
Required Qualifications
Bachelor’s degree in business, legal studies, risk management, compliance or related field
5+ years of regulatory, securities, insurance, marketing, advertising compliance, or related compliance experience
2+ years of experience reviewing advertising requirements, marketing communications standards, and applicable state, federal, securities, insurance, FINRA, and/or SEC rules and regulations
Strong written and verbal communication skills, including the ability to explain compliance requirements clearly to business partners and stakeholders
Analytical, research, organizational, and critical-thinking skills with strong attention to detail and accuracy
Ability to coordinate and prioritize multiple reviews, filings, projects, and deadlines in a fast-paced environment
Proficiency using Microsoft Office tools and other applicable advertising review, document management, or workflow systems
Apply HERE
Senior Life & Annuity Compliance Analyst - Advertising
Company: National Life Group
Job Title: Senior Life & Annuity Compliance Analyst – Advertising
Location: Montpelier, Vermont; Dallas, Texas
About the Role. Are you looking for the next step in your Compliance career with the opportunity to join Life & Annuity Compliance? We are seeking a talented individual who is passionate about continuing to grow their professional expertise through applying comprehensive understanding of fixed insurance regulations to areas of responsibility.
The successful candidate will become part of the Advertising Guidance team (“AGT”) and utilize advanced analytical and problem-solving techniques when reviewing and responding to advertising materials submitted by home office employees and appointed agents with independent distribution. In this role you will have the opportunity to adapt your communication style for diverse audiences and provide advice on challenging matters.
As part of our team, you will have the opportunity to apply the skills you have already gained, while continuing to grow your business and compliance knowledge, as you take the next step in your Compliance career journey. The main products handled by the Company are fixed life insurance, including indexed universal life insurance, along with living benefits, and fixed annuities, including fixed indexed annuities.
This position currently offers an onsite hybrid work schedule, with the expectation that you are in the office four (4) days per week during onsite core days. Our current onsite core days are Monday, Tuesday, Wednesday, and Thursday. The work schedule type and core days are subject to change with advance notification and manager discretion.
What you will do
Use basic business understanding and subject matter expertise to creatively resolve submitted advertising materials that vary in complexity by suggesting variations in approach when necessary and applying judgment to determine exceptions as needed.
Execution – 75%
Tactical – 25%Demonstrate full understanding of AGT processes and apply subject-matter expertise to timely complete assigned deliverables within internally established time standards.
Independently complete tasks in alignment with policies and procedures with work reviewed by management or designated senior colleagues, at critical points.
Strengthen relationships with senior internal and external (including regulators) peers.
Apply judgment in alignment with policies and procedures when assessing unusual circumstances, identifying causes, and suggesting innovative approaches to meet short-term needs.
Devise solutions with limited information, adapting existing approaches effectively.
Fully integrate NLG values and Servant Leadership Tenets into daily work and serve as a model for junior colleagues in applying these principles.
Minimum Qualifications
FINRA Series 7 and 24
5+ years of progressive and relevant combination of compliance and/or life insurance and annuity work experience.
Proficiency in Microsoft Office Suite.
Ability to provide exceptional customer service through empathy, listening, and understanding client needs.
Ability to understand and independently communicate general compliance topics.
Demonstrate tact and professionalism and the ability to interact with individuals and leaders at all levels of the Company, the Field, and with the public on sensitive 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.
Strong organizational, time management, qualitative, and analytical skills.
Demonstrate understanding of Company and departmental goals by designing and aligning individual goals to support annual goals and initiatives.
Effectively work in a team environment, closely collaborating with business partners.
All other duties as assigned.
Preferred Qualifications
FINRA Series 63, or equivalent, registration or must obtain within 1 year of hire.
3+ years compliance-related experience.
Pursuit of LOMA certifications.
Demonstrated comprehensive product knowledge of fixed life insurance and annuities.
Apply HERE