Compliance Business Oversight Manager managing compliance risk at TD Bank. Overseeing Affiliate Transactions Data Review and providing insights on regulatory compliance.
About the role
- Product Regulatory Consultant at Lincoln Financial, preparing complex regulatory filings and collaborating with internal stakeholders on compliance. Ensure accuracy and transparency in product documentation.
Responsibilities
- Preparing more complex regulatory filings including the writing of disclosures for prospectuses, Statements of Additional Information (SAIs), supplements, and opinion letters.
- Drafting &/or filing applicable forms &/or documents and reports by identifying & complying with more complex regulatory requirements.
- Analyzing contractual language for new products & enhancements to ensure language complies with state and federal requirements, while maintaining consistency with product features and Lincoln standards.
- Reviewing post-effective season prospectuses and incorporating changes from product prior to providing to attorney for sign-off and then to RPO for insertion.
- Drafting more complex memorandums and addendums.
- Tracking and monitoring regulatory filings/supplements to ensure deadlines are met.
- Maintaining accurate records of approval information so that approved products and filings are correctly issued.
- Conducting research, responding to and/or reporting on more complex regulatory filing issues.
- Serving as a resource to internal stakeholders on regulatory product issues.
- Evaluating and answering questions in relation to the interpretation of contract and/or claims provisions as requested by internal and external customers.
- Collaborating with management, legal, compliance, actuarial and state regulatory personnel to obtain necessary information to be included in filings for new products, addition of riders/features, and updated language/funds on a registered product.
- Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and communicating developments and new procedures to internal stakeholders.
- Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of regulatory filings.
- Managing, conducting and/or participating in more complex projects.
Requirements
- 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
- 3 - 5+ Years experience in a regulatory, compliance and/or legal support area that directly relates to the specific duties of this role (Required)
Benefits
- Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes
- Leadership development and virtual training opportunities
- PTO/parental leave
- Competitive 401K and employee benefits
- Free financial counseling, health coaching and employee assistance program
- Tuition assistance program
- Work arrangements that work for you
- Effective productivity/technology tools and training
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