Provide new business/underwriting guidance on compliance risks and solutions
Consult on financial underwriting standards and individual underwriting case decisions
Collaborate with various stakeholders to identify potential compliance risks from product design
Perform data analysis of sales trends to identify compliance risks and recommend actions
Develop and update programs to ensure compliance with applicable laws and regulations
Work independently on complex projects related to new products, services, and platforms
Requirements
Bachelor’s degree
10+ years of compliance (or related) experience
5+ years’ experience with relevant insurance regulatory compliance programs
Ability to work independently
Experience with various standards of conduct regimes including DOL fiduciary, NY Reg 187, and NAIC Suitability in Annuity Transactions Model Regulation
Advanced Degree (e.g. JD) and 15+ years experience preferred
Exceptionally strong business acumen
Strong analytical abilities that can assess both risks and the effectiveness of compliance controls
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