Compliance Analyst, Suitability
The Compliance Analyst, Suitability will review escalated annuity applications and provide oversight of Athene’s suitability program, as well as fulfill additional compliance functions.
- Assist with the suitability oversight program for Athene USA.
- Build and maintain strong working relationships with internal partners and business units to communicate and educate on Athene USA’s suitability program.
- Engage in proactive discussions regarding suitability declines to educate and train on Athene suitability guidelines.
- Prepare monthly compliance reports to management regarding suitability oversight program and other compliance functions.
- Assist in annual suitability audits of banks, broker-dealers and other external distribution partners.
- Assist with monthly QA of the Athene USA suitability process to ensure procedures and guidelines are being followed.
- Assist with reviewing escalated annuity applications and make determinations on whether to accept or decline applications based on Athene USA policies, guidelines and state regulations.
- Responsible for additional compliance oversight functions and projects, as assigned.
Qualifications & Experience:
- 3+ years’ of progressively responsible compliance and/or suitability experience.
- Previous compliance and suitability knowledge acquired by work experiences within a compliance or suitability business unit or related business unit.
- Strong analytical skills, with the ability to draw conclusions from research or data collection, and to report on those findings in multiple formats (e.g. written, spoken) in a timely and appropriate manner.
- Strong communication skills with the ability to relay information effectively to our internal and external business partners.
- General knowledge of Annuity products.
- General knowledge of Suitability in Annuity Transactions Model Regulation and state specific suitability regulations.
- Bachelor’s Degree or equivalent combination of education and experience.
Interested, apply HERE!
Manager of Compliance – #1831-418
AAA Life is seeking a Manager of Compliance. Operating within the core values and operating principles of the organization, this position is responsible for managing and coordinating the activities of Compliance professionals in accordance with established guidelines. Manager provides guidance and support in the development and ongoing administration compliance and licensing processes that allow AAA Life to sell and service life, accident and health insurance products in accordance with all applicable states’ laws. Interacts with internal and external business partners daily in the performance of job related responsibilities.
- Determines and directs overall work assignments, projects and tasks for Compliance staff.
- Administers and communicates the methods, procedures and standards of quality and performance expected of assigned staff, consistent with established guidelines.
- Assures that adequate resources are sought and available to accomplish current and planned goals.
- Plans and organizes short and long term activities of staff to achieve established goals, consistent with cost-effective measures.
- Participates in and supports corporate strategic projects. Prepares analyses and reports as requested by senior management
- Prepares budget estimates and projections for review by management
- Coordinates, completes and monitors the professional insurance licensing and appointing process for Company, in accordance with state regulations.
- Assists with commission assignment requirements.
- Reviews, interprets and implements procedures required by federal and state laws and regulations.
- Creates and monitors procedures for Company and field personnel to ensure compliance with various insurance laws and regulations.
- Bachelor’s degree required. Juris Doctor preferred.
- FLMI, ACS, CLU, FALU, AALU or some financial services industry coursework desired
- 3 years’ management experience
- 5 years’ insurance experience
Click HERE to apply.
Are you ready to have a rewarding in-house legal career? Modern Woodmen of America is seeking dedicated candidates who will provide legal and business guidance to our organization. This position is located at Modern Woodmen’s home office in Rock Island, IL.
- Assist in managing legal risk by researching and providing advice and solutions on matters of insurance, corporate, employment, fraternal benefit, and/or property laws.
- Prepare, review, and interpret contracts and other legal documents related to a wide variety of matters.
- Participate in and supervise dispute resolution ranging from informal advice to operating departments to active litigation management.
- Represent the organization and manage outside counsel as necessary in legal proceedings.
- Provide advice on regulatory matters.
What we need:
- Juris Doctor from an accredited law school. Full, active license to practice law in Illinois, or must obtain within 1 year of hire.
- At least 5 years of relevant work experience. Experience with life insurance, corporate and employment law preferred; regulatory experience desirable.
- Strong analytical, drafting, negotiating, and presentation skills.
- Ability to work both independently and collaboratively, meet deadlines, and manage multiple complex projects.
- Willingness to obtain industry certifications and expertise.
- Occasional domestic travel is required.
Apply HERE today!
Modern Woodmen is an equal opportunity employer. We strive to maintain a culture of respect and are committed to diversity and inclusion for all employees.
Ethics, Privacy, and Information Compliance Leader
The Ethics, Privacy, and Information Compliance Leader will lead a team of associates and facilitate the design, implementation, oversight, testing and revision of the Code of Ethics and policies related to privacy, information management, and related topics. Monitors the organization’s standards of conduct and ethical relationships with customers, contractors, and associates. Investigates allegations of unethical activity and develops safeguards to detect or prevent future violations of the organization’s ethics policies. Leads the ongoing development of privacy incident response and privacy reporting.
Responsibilities include, but are not limited to:
- Performs annual reviews such as includes risk assessments, analysis of policies and procedures, and other maintenance for programs relating to ethics, privacy, and information management.
- Directly, and through the team, analysis, interpretation, and recommendations for document provisions to ensure continued effectiveness of controls, training, and policies related to ethics, privacy, and information management. Identifies and recommends improvements based on changes to regulations and performing compliance assessments.
- Coordination with senior management and executives related to ongoing initiatives involving privacy, information management, and items related to the Code of Ethics.
- Manages reporting and remediation of various potential or actual compliance violations related to programs within scope the role. Accountable for data accuracy and timeliness of reports.
- Recruits, directs, motivates and develops professional staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team.
- Bachelor’s Degree in scientific discipline or related field
- 5+ years compliance experience or similar experience.
- Ability to lead, strategize, and thinks critically
- Ability to demonstrate excellent communication skills (oral, written, presentation, and leadership) to work effectively with all levels of associates.
- Ability to deal with confidential information and situations
- Previous experience with direct team management
- Advanced records management, privacy, email archiving, social media, and compliance training knowledge with ability to research, develop and implement appropriate practices aligning with Securian culture.
What you could expect from us:
- Securian Financial is based in downtown St. Paul for nearly 140 years. We’re committed to giving back to our community, donating 15,000+ employee volunteer hours this past year. We also provide extensive resources to our employees for professional development and growth and a number of diverse professional and social opportunities throughout the company. There’s a reason our employees have voted us as a best place to work year after year! In addition:
- Generous paid time off. We want you to take time off for whatever matters most to you!
- Tuition reimbursement program. We value continuous learning at Securian!
- Company-funded pension plan as well as 401K retirement plan – great resources to secure your financial future.
- Continuous opportunities for new challenges.
- Variety of health plan options as well as dental and vision plans.
- Discounted Metro Transit costs. All buses and the light rail stop within 3 blocks of our buildings.
- Paid maternity/paternity leaves.
Physical job requirements:
- Ability to work at least 40 hours per week
- Ability to utilize keyboard, mouse and computer for up to 8 hours per day
- Ability to utilize telephone for approximately 1-4 hours per day
- Ability to perform simple grasping including handwriting, paper manipulation, sorting, folding, etc. periodically throughout entire workdayThe physical job requirements described above are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.Apply HERE!