Job Board

The CEFLI Job Board is a free resource provided to our CEFLI Members. Only CEFLI Members may post a job vacancy to the CEFLI Job Board.
Job vacancies are available for viewing by the general public.

For Information on how to submit a job vacancy please click here or send job details to Mallory Bennett via email: MalloryBennett@cefli.org.


Current Postings:


 
LOMBARD INTERNATIONAL
 
Job Title: Title: Market Conduct & Compliance Specialist
 
Position Summary
Lombard International seeks a highly organized, detail-oriented Market Conduct & Compliance Specialist for our Philadelphia, PA office. Working within the Compliance team, the Specialist performs a range of substantive duties on behalf of the firm’s insurance and securities related entities.
 
 
Responsibilities Include:
Interpret new and existing laws and regulations, communicate them to others and form recommendations for compliance in ways that are appropriate for applicable entities
Assist with the testing and documentation of the effectiveness of various compliance manuals, procedures and programs
Prepare and review insurance and/or securities regulatory filings
Assist with regulatory exams and inquiries
Review marketing material
Provide market conduct and compliance training and support to various departments
Assist with other projects and tasks as assigned
 
Requirements:
  • Paralegal certification and/or a Bachelor’s Degree in business or a related field
  • Project management and/or business analyst experience  (ability to maintain and develop templates, checklists, and project management and business analysis tools)
  • Advanced aptitude with traditional (Word, Excel, PowerPoint, etc.)  and corporate (e.g. registered agent, annual report and good standing) compliance tools
  • A minimum of 3 years market conduct and/or compliance experience with knowledge of insurance model regulations, securities laws, state laws and regulated business environments
  • FINRA Series 6 plus 26 registrations or ability to obtain within nine months
  • Proven organization, time management and communication skills with attention to detail and the ability to effectively interact with various levels using independent judgment and discretion
  • Occasional travel up to 10% of time may be required
 
Desired Skills and Experience:
  • Knowledge of insurance business and compliance issues associated with variable life and annuity insurance products; advanced insurance industry designation such as CLU and/or FLMI helpful
  • Considerable experience with regulatory research and analysis
  • Active presence in (or ability to develop)  industry associations to stay informed of changes in the marketplace, to network, and to stay abreast of best practices
  • Demonstrated ability to identify issues, assess and mitigate risk and think strategically
  • Professional and calm demeanour and high level of integrity and ethics
Apply here.
 

 

PROTECTIVE LIFE INSURANCE COMPANY
Job Title: Compliance Audit Director

Job Summary:

Under general supervision of the Corporate Compliance Manager, perform risk-based evaluations of regulatory compliance, adherence to policies and procedures, and operational effectiveness for all departments and lines of business through the timely execution of compliance audits in accordance with the Annual Compliance Audit Plan or on an ad-hoc basis.

This position will lead and manage a team to ensure compliance with regulations, policies and procedures by examining and analyzing records, reports, operating procedures and documentation. As a result, this position will work with management by recommending opportunities to strengthen the internal compliance control structure.

This position must clearly communicate audit results to management via written and oral reports. Support the development and completion of corrective action plans by department leadership to ensure identified risks are addressed. Conduct organizational and line of business-specific risk assessments to support the creation of the annual compliance audit plan.

Job Responsibilities:

  • Ensure execution of a risk-based compliance audit program
  • Identify and evaluate existing and trending risks which may impact the Company’s compliance position and the Company’s success 
  • Work with the Compliance Management team and Internal Audit Management to develop a companywide Annual Compliance Audit Plan.
  • Update, and maintain internal compliance risk register, work-plans and work-papers that consider the company’s size, growth, and risk tolerance, as well as, regulatory changes and examiner focus.
  • Manage and develop the compliance audit staff to ensure compliance audit quality remains effective, efficient, and of high standards 
  • Review compliance audit staff fieldwork and draft risk focused audit reports. 
  • Effectively communicate compliance audit results, key indicators and regulatory reports to all levels of management.
  • Work with Line of Business Managers, Compliance Management, and Risk Management to ensure corrective action for compliance audit findings is understood and implemented appropriately 
  • Work on confidential, high priority projects (such as acquisitions and mergers) as assigned. 
  • Maintain proficient audit and regulatory compliance knowledge of all lines of business.
  • Assist in the coordination and completion of external regulatory audits, as needed, including testing business remediation efforts.
  • Other duties as may be assigned. 

Minimum Qualifications:

Education:

Graduate of a four-year college with a Business, Finance, or Accounting Degree.

Qualifications:

  • A strong technical background within financial service - significant life insurance, compliance, and auditing experience is preferred. 
  • Minimum 5 years in Regulatory Compliance or auditing /testing. 
  • Certified Regulatory Compliance Manager (CRCM) or other regulatory certifications preferred (see below)
  • Prior leadership experience 
  • Ability to be flexible and adaptable to an ever changing regulatory environment and growing financial institution 
  • Excellent interpersonal, oral, and written communication skills. 
  • Ability to read, interpret, and simplify technical and complex regulatory information 

Computers and Technology: Proficient in Microsoft Office Suite, with a heavy emphasis on Microsoft Excel. Proficient in the use of Audit Control Language (ACL) preferred.

 

Other Certificates, Licenses and Registration: Certified Public Accountant (CPA), Certified Internal Auditor (CIA), and/or Certified Fraud Examiner (CFE), strongly preferred.

APPLY HERE!

 


ARIZONA DEPARTMENT OF INSURANCE
Job Title: Executive Director of the Arizona Guarantee Funds

The Arizona Department of Insurance is seeking a seasoned professional with expertise in insurance, finance and law, to direct, manage, administer and supervise all operations of the Arizona Life and Disability Insurance Guaranty Fund and the Arizona Property and Casualty Insurance Guaranty Fund (“Arizona Guaranty Funds”).  Collectively, the Arizona Guaranty Funds act as a safety net for Arizona citizens and businesses covered by insurance policies issued by an insurer that becomes insolvent.  The Arizona Guaranty Funds step into the shoes of insolvent insurance companies to pay obligations within statutory limitations.  Each of the Arizona Guaranty Funds is administered by a board established within the Arizona Department of Insurance. The Executive Director executes the powers and duties of each fund in accordance with the board’s plan of operation.

APPLY HERE!


TRANSAMERICA LIFE INSURANCE COMPANY
Job Title: Intermediate Compliance Analyst, Market Conduct
Location(s): Cedar Rapids, Iowa/ Harrison, New York

What You Will Do: 
You will help to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. You should have the ability to possess and apply broad knowledge of concepts and principles; work with some instruction or guidance with applicable latitude for un-reviewed action or decisions; perform more complex assignments with direction and guidance from management. You will analyze Transamerica’s responses to regulatory complaints and assist with completion as well as manage and coordinate regulatory examinations.
 
What You Will Learn: 
You will be working with a team of ambitious and engaged professionals who bring fresh ideas and diverse perspectives to help us continually shake up the status quo and stay on the forefront of maintaining and developing our compliance processes and policies.  You will learn what it means to work for a company that focuses on risk management and process improvement as it relates to enabling us to perform at the level we need to transform and grow our business and maintain Transamerica reputation as an industry leader.
 
What Success Looks Like:  
Review current policies and procedures; identify and help to implement new and/or enhanced practices.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
Compile information for completion of reporting, including reports for management and state/federal regulators.  Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.
Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)
Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
Update and maintaining complete and accurate policies, procedures, compliance logs or files.
Assist team members with research and assigned tasks, and provide training to supported teams.
Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations.
Review provided information for completeness and accuracy.
Assist in drafting responses to examiner inquiries.
Assist in identifying root causes of adverse findings and suggest opportunities for enhancements.
 
What You Need:  
Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience. 
Two years of regulatory, securities, or advertising compliance experience.
Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications. 
Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.
 
What You Receive: 
A Comprehensive Wealth + Health package.  It’s our passion to empower people, and especially our employees, to add years to their lives and more life to their years.  That means a healthy account balance and a healthy body to match.  As you’ll come to discover, Wealth + Health is a central part of everything we do!
Wealth Benefits; Competitive Pay, Bonus, and Benefits Package; Pension Plan, 401k Match, Employee
Stock Purchase Plan, Tuition Reimbursement, Disability Insurance, Stock Purchase Plan, Employee
Discounts, Career Training & Development Opportunities, Certification Sponsorship
Health and Work/Life Balance Benefits; Be Well Company sponsored holistic wellness program which includes Wellness Coaching and reward dollars, Parental Leave, Adoption Assistance, Employee Assistance Program, College Coach Program, Back-up Care Program, Paid Time Off to Volunteer, Employee Matching Gifts Program, Employee Resource Groups, Inclusion and Diversity Programs, Employee Recognition Program.  
 
APPLY HERE!