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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: National Life Group
Location: Addison, TX; Montpelier, VT
Job Title: Sr. Life & Annuity Compliance Analyst – Advertising

Role Summary:  

Please note that we do not offer visa sponsorship for this position.

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.

Essential Duties and Responsibilities:

  • 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 & 24 registrations.
  • 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:

  • 3+ years compliance-related experience
  • Pursuit of LOMA certifications
  • Demonstrated comprehensive product knowledge of fixed life insurance and annuities

Apply HERE.

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

Company: Brighthouse Financial
Job Title: Senior Compliance Analyst
Location: Charlotte, North Carolina | Hybrid or Remote Structure

About the Role. As a Senior Compliance Analyst (Privacy), you’ll be responsible for supporting the Company’s Anti-Money Laundering (“AML”), Operations Compliance, Regulatory Examinations, and Data Compliance programs. Working in the Legal and Compliance organization, you will have the opportunity to contribute to projects that will have direct and immediate benefit to the Company’s effort to manage risks associated with regulatory enforcement and oversight of operational functions. You will help strengthen the Company’s privacy, data governance, cybersecurity, and AI compliance capabilities by providing dedicated support for increasingly complex and time-sensitive regulatory obligations. This role will enable more consistent oversight, timely execution of required controls, and proactive partnership with business, technology, legal, and operational stakeholders, helping the Company more effectively manage regulatory risk, maintain consumer trust, and responsibly support evolving data and technology initiatives across the enterprise. You will have the opportunity to contribute to projects that will have direct and immediate benefits to the compliance programs.

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.

Who you are

  • A Bachelor’s degree (preferred)
  • 4+ years of relevant experience in the financial services industry (insurance industry preferred)
  • 2+ years of compliance experience (privacy and/or data compliance preferred)
  • Experience interpreting laws and regulations a plus
  • Knowledge of the regulatory requirements related to the insurance industry
  • Intellectual curiosity, flexibility, and adaptability in relations with superiors and peers
  • Strong negotiation skills and ability to be a business partner and creative thinker capable of understanding and finding appropriate solutions to business needs
  • Ability to work independently and as part of a larger team
  • Excellent analytical, investigative, and writing skills
  • Aptitude to utilize artificial intelligence for process efficiency

Research shows some people may not apply for a role if they don’t check all the boxes of a job description.  If you don’t check every box listed, that’s okay. We would love to hear from you.

Apply HERE

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