Job Description

Job Title: Compliance Analyst III

Location: Newport Beach, CA 92660

Duration: 6 months Contract (Good Possibilities of extension)

Job Description:

How you’ll help move us forward:

• Provide compliance support to a business unit, or multiple related units, reviewing business operating practices, and administrative procedures and internal controls to determine if they are within company standards and regulatory requirements.
• Review and analyze sales and marketing materials, completes appropriate filings, and coordinates regulator audits and litigation requests.
• Help find ways to support the business unit to rethink how to innovate content creating process and develop content that are appealing to consumers as well as meeting regulatory expectations.
• Assist in the unit's compliance training initiatives including designing, developing, maintaining, implementing, and coordinating, training and communications related to compliance policies and procedures covering employees and third parties including producers, suppliers, vendors, and end clients.
• Leverage automation technology to improve efficiency, accuracy, and develop new functionality for Distribution & Marketing Compliance initiatives and responsibilities.
• Find opportunities to coordinate compliance activities with other areas to promote learning and sharing of best practices and ideas.

The experience you bring:

• 4-year degree
• 5 years’ experience in compliance field.
• Excellent written and verbal communication, along with a professional and collaborative demeanor.
• Leadership abilities, including interpersonal savvy, courage, decision quality, driving engagement and resourcefulness.
• Proficient computer skills, including Microsoft Office products, SharePoint, MS Teams.
• Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
• Use best practices and knowledge of internal or external business issues to improve products or services.
• Ability to solve complex problems and develop new perspectives using existing solutions.
• Comfortable working both independently with minimal supervision and open to collaborating with team and other Office of the General Counsel teams when necessary.

What makes you stand out:

• Series 6 and 26 FINRA licenses (will be required for the role).
• Strong knowledge of state regulatory requirements pertaining to sales and marketing.
• 5+ years Life Insurance and/or annuity related and/or compliance experience preferred.
• In-depth knowledge and experience tied to financial services and insurance industries.

Job Tags

Similar Jobs