Senior Compliance Risk Manager providing independent oversight of business products and compliance with NAIC regulations. Key role in ensuring adherence to legal requirements and influencing business solutions in financial services.
Responsibilities
Provides guidance to the business to ensure documents, projects, processes or product initiatives align with regulatory and legal requirements and enterprise policy
Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution
Responsible for project management by leading and influencing cross functional enterprise or compliance teams
Reviews implementation planning for new laws and regulations and ensures appropriate parties have been engaged
Conveys information and position clearly, concisely, logically and in an organized manner
Performs compliance risk management activities in accordance with enterprise compliance policies and procedures
Serves as a resource to team members on compliance issues
Requirements
Bachelor's degree
6 or more years experience in compliance, risk, legal or audit within the financial services or insurance industry or niche technical fields directly related to the role
Experience working in a highly regulated environment
Knowledge in a specific area of compliance laws, regulations, and regulatory expectations
Ability to apply knowledge of regulatory compliance to consult and provide insight and guidance
Knowledge of Microsoft Office tools to include Word, Excel, and PowerPoint
Experience providing guidance and standards to team members
Benefits
comprehensive medical, dental and vision plans
401(k)
pension
life insurance
parental benefits
adoption assistance
paid time off program with paid holidays plus 16 paid volunteer hours
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