The Senior Regulatory Associate manages compliance for the P & R Compliance Department, advising on complex inquiries and supporting compliance for operations and variable products.
The work we do has an impact on millions of lives, and you can be a part of it.
We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most.
To be the compliance representative for the P & R Compliance Department and to assist the VP of Compliance in their functions. Serves as compliance consultant for complex compliance related inquiries. Provide consultation regarding business processes and operations, and complaints. Responsible for maintaining the company’s 38a-1 program. Provides compliance support for variable product lines. Compliance lead for implementation of complex regulations and business initiatives.
Review and analyze research requests.
Monitor and analyze regulatory activity and advise management of items that are impactful to the company.
Manage compliance implementation of new process requirements
Provide compliance support for operations including but not limited to:
• Process Reviews
• Legal Research Requests
• Electronic Transaction Compliance
• Quarterly Statements
• Mailroom Exceptions
Manage the company’s 38a-1 program.
• Maintain 38a-1 Legal Inventory
• Create and Maintain 38a-1 Policy Level Documents
• Periodic Review of Written Supervisory Procedures
• Map Rules to Business Activities and Documented Policies and Procedures
• Perform Risk Assessment of Impacted Business Areas
• Training and Awareness
Provide compliance support for variable product lines of business, including but not limited to:
• Monitor and interpret regulatory developments (SEC, FINRA, NAIC, state insurance departments) affecting variable life and annuity products.
• Develop and implement compliance policies and procedures to ensure adherence to applicable laws and regulations.
• Conduct risk assessments and oversee remediation plans for compliance gaps.
• Collaborate with product development and marketing teams to ensure compliant product design and promotion.
• Serve as a subject matter expert on variable products and annuity compliance.
Required Experience, Education, Certification/Training
- Bachelor’s degree in Business, Finance, Law, or a related field, JD and FINRA license preferred.
- A minimum of 5-7 years experience working with life insurance and annuities. Good working knowledge of annuities, universal life insurance and variable universal life insurance strongly preferred.
- Experience with periodic testing and reporting of operation activities
- Experience with implementing procedural enhancements
Required Knowledge, Skills and Abilities
- Proficient in Microsoft Office including: Excel and Word. Experience working with various databases.
- Self starter with the ability to multi task in a fast paced environment
- Excellent written and verbal communication skills
- Strong analytical and problem-solving skills.
- Ability to work independently and as part of a team
Employee Benefits:
We aim to protect the wellbeing of our employees and their families with a broad benefits offering. In addition to offering comprehensive health, dental and vision insurance, we support emotional wellbeing through mental health benefits and an employee assistance program. Work/life balance is important and Protective offers a variety of paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day). The financial health of our employees is just as important as physical and emotional health. Some of the financial wellbeing benefits include contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards, Protective’s platform to improve wellbeing while earning cash rewards.
Eligibility for certain benefits may vary by position in accordance with the terms of the Company’s benefit plans.
Accommodations for Applicants with a Disability:
If you require an accommodation to complete the application and recruitment process due to a disability, please email [email protected]. This information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process.
Please note that the above email is solely for individuals with disabilities requesting an accommodation. General employment questions should not be sent through this process.
We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing an inclusive workforce.
Top Skills
Databases
MS Office
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