Compliance Analyst IV

About this role

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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

• Advanced knowledge of multiple product lines

• Strong mentoring and coaching skills

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#AFC
Originally posted on Himalayas