• Remain current with life insurance compliance best practices; research and regularly communicate changes in regulatory guidance and bulletins, with an emphasis on the State of Virginia and the National Association of Insurance Commissioners (NAIC), the Association of Insurance Compliance Professionals (AICP), the Association of Commercial Life Insurers (ACLI) and other industry groups.
• Support efforts related to departmental compliance audits and risk assessments, including scheduling, documenting and reporting related to the same.
• Monitor/track, review and propose revisions to departmental Standard Operating Procedures (SOPs), with emphasis on Sales, Member Services and Claims.
• Support the Director of Compliance and the General Counsel with compliance-related investigations.
• Advise the training and development team to ensure the training curriculum reflects industry best practices.
• Maintain effective relationships with industry organizations, and other external stakeholders to stay abreast of regulatory developments and industry trends.
• Uphold and promote a culture of ethical conduct within the Association, including integrity, professionalism, and truth in all business dealings.

What do you bring to the table?

• Bachelor’s degree or equivalent in business, finance, insurance, law, or a related field.
• Minimum 2-4 years of experience in insurance compliance or a related role in the insurance industry, preferably with a focus on life insurance and annuities.
• Professional certifications related to compliance are desired but not required (e.g., Associate Compliance Professional (ACP), Certified Compliance Professional (CCP), or Associate, Insurance Regulatory Compliance (AIRC)).
• Demonstrated understanding of applicable laws, regulations, and industry standards related to life insurance and annuities products, including NAIC model rules and regulations.
• Proven history with excellent research, analytical, problem-solving, and decision-making skills.
• Ability to work independently and collaboratively and manage multiple tasks and priorities in a fast-paced environment while producing excellent work product.
• Strong communication skills, both written and verbal, with the ability to effectively communicate complex compliance concepts to diverse audiences.
• Proven ability to build and maintain positive relationships with internal and external stakeholders.
• Detail-oriented with strong organizational and time management skills.

Click HERE to apply!

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Company Name: EquiTrust Life Insurance Company

Company Location: 7100 Westown Parkway, Suite 200 West Des Moines, IA 50266

Job Description: The Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials.  This Compliance Analyst is responsible for ensuring and enabling the adherence to advertising compliance policies by reviewing and approving advertising materials and collaborating with cross-functional teams to ensure adherence to industry regulations.  The Compliance Analyst (Advertising Review) will leverage their deep understanding of the life and annuity industry and the related financial products and services to effectively maintain compliance within EquiTrust’s advertisements.  Additionally, this role will be responsible for drafting and modernizing our forms that are used throughout the sales lifecycle.

Job Title: Compliance Analyst (Advertising Review)

Essential Duties and Responsibilities 

• Follows, implements, and adheres to advertising compliance policies and procedures in alignment with insurance industry regulations.
• Reviews and approves advertising and marketing materials to ensure compliance with industry guidelines and internal policies.
• Provides guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements.
• Stays current with changes in financial industry regulations and update compliance policies as needed.
• Collaborates with internal legal counsel as necessary to address compliance issues and inquiries.
• Monitors and tracks advertising campaigns, keeping detailed records and documentation of compliance efforts.
• Conducts periodic audits and reviews to identify and rectify potential compliance violations.
• Collaborates with other departments to modernize forms and documents.
• Supports the Regulatory and Compliance team and/or other departments on an as needed basis.
• Willingly takes on additional responsibilities as requested in order to accomplish department and Company objectives.
• Actively participates and contributes to the goals and objectives of the Company by working collaboratively and fostering a positive and inclusive work environment.

Skills and Abilities

• Exceptional attention to detail, analytical skills, and the ability to interpret complex regulatory requirements.
• Strong communication skills to work with advisors, vendors, and internal teams and the ability to collaborate across departments.
• Proficiency in relevant software and compliance tools
• Ability to work independently, meet deadlines, and adapt to a fast-paced and changing regulatory environment.
• Ability to prioritize workflows, establish and meet deadlines and manage multiple concurrent tasks.
• Document and Form drafting experience.

Training or Work Experience

• A minimum of 3 years of experience in advertising compliance within a life insurance and/or annuity, or financial services industry required.
• 5 years of experience in advertising compliance within a financial services industry is preferred.
• Experience in advertising compliance within a financial services industry at a broker/dealer firm preferred.

Education

• Bachelor’s Degree required:
  • Bachelor’s Degree in Business Administration, Economics, Finance, or a related field is preferred.

Working Conditions

• Infrequent travel (less than 5% of the time).

Click HERE to apply!

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Company Name: SILAC Insurance Company

Company Location: 10201 N. Illinois St., Suite 280, Carmel, IN 46290

Job Description: SILAC Insurance Company is currently seeking an experienced Corporate Compliance Analyst to join the company’s Legal and Compliance Departments in Carmel, Indiana.  The Corporate Compliance Analyst is primarily responsible for reviewing and filing the Company’s annuity products and advertising to achieve and maintain compliance with state insurance laws; preparing and filing various corporate and regulatory reports with the respective state regulators; and assist with compliance matters involving consumers, agents, and regulators.

In addition, this role will collaborate with leaders across the enterprise to gain knowledge of business practices and procedures, disseminate critical compliance related information and updates and provide input and assist with agent and consumer communications.

Successful candidates will demonstrate a strong understanding of the functionality of state product filing systems, including the NAIC’s System of Rate and Form Filing (SERFF); Attention to detail; Ability to meet critical timeframes; Intellectual and conceptual ability to think critically in order to make decisions; Ability to maintain effective, respectful working relationships with colleagues and regulators; Ability to complete multiple tasks accurately and within assigned periods; Ability to document adequate notes to record actions and the information gathered to document work performed; and proficient in use of personal computers, peripheral equipment and various software packages, including the Microsoft Office Suite.

Job Title: Corporate Compliance Analyst

Job Requirements:

Minimum Qualifications

• 3 or more years related experience
• Ability to professionally interact with state Departments of Insurance, and other state and regulatory agencies
• Advanced understanding of state annuity product standards and filing requirements
• Advanced business planning and time management skills with the ability to work under pressure and adhere to project deadlines
• Effective verbal and written communication skills
• Ability to work in a high-paced environment, prioritize tasks, and multitask with competing deadlines.
• Proficient in research, review, analysis and reporting of regulatory and legislative requirements
• Proficient in Microsoft Office (Word, Excel, Outlook, PowerPoint)

Additional Qualifications

• Travel, including overnight, out-of-state may be required

Responsibilities

• Support the coordination of product development and compliance to ensure the Company’s products achieve compliance with applicable law
• Provide guidance for the development of product advertising
• File product related forms and advertising, where applicable, with the respective state insurance regulators
• Prepare and submit corporate and regulatory reports to within the respective state insurance regulators statutory deadlines
• Review and dissemination of state department of insurance statutes, regulations, rules, guidelines, and bulletins to the Company, and facilitate internal training for legislative and regulatory changes
• Assist with the investigation of consumer complaints and investigations