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Provide appropriate compliance information to support the development of business requirements, functional processing, testing and implementation of compliance related projects.
Research contract language and regulatory requirements to develop, file, and maintain product forms and related systems, processes and materials to ensure compliance with federal and state legislation and coordinate these activities among team members to meet established goals and priorities.
Train and/or mentor other compliance analysts in all aspects of product form compliance.
Education
Bachelor's degree preferred; equivalent work experience in compliance, legal, or role supporting a regulated industry will be considered in lieu of degree
Licenses
Obtain one or more generally recognized industry related designations (FLMI, HIA, AIRC, etc.)
FINRA Series Licensing
SIE (Securities Industry Essentials) required within 90 days of hire
6 (or 7) (Variable Contracts Limited Representative) – required within 24 months of hire
63 (Uniform Securities Agent) – required within 24 months of hire
24 or 26 (Investment Company and Variable Contract Products Principal) preferred
Applicable continuing education in order to maintain designations
Technical Skills and Requirements
7-10 years of insurance industry experience required, including 5-7 years as a compliance analyst
Advanced knowledge of MS Office programs (Word, Excel, Access, Powerpoint, etc.)
Knowledge of organizational structure, Company policies and procedures
Extensive knowledge of contract construction
Strong communication skills including oral, written and presentation
Strong research, analysis, problem solving, and interpretive skills
Working knowledge of Company systems applicable to contract design, structure and functional processing, if applicable
Project management, strong presentation skills and organizational familiarity of the front and back end of product development as well as an understanding of each stage of the product development process and the systems impacted
Ability to work independently and address problems through own initiative and creativity
Demonstrates proficiency with complex technical situations including non-traditional risks and underwriting
Demonstrates a high level of administrative competence and excels in analyzing and adjusting organization procedures for maximum efficiency
Ability to work under pressure of deadlines and manage multiple projects at once
Ability to work professionally and effectively with colleagues, customers and vendors
Demonstrates ability of negotiating acceptable outcomes ensuring compliance objectives are met
Well organized and able to handle multiple priorities
Demonstrates ability of negotiating acceptable outcomes