Senior Regulatory Associate

Job Summary

A company is looking for a Senior Regulatory Associate to serve as a compliance representative and consultant for the P & R Compliance Department.

Key Responsibilities

• Provide compliance support for variable product lines and maintain the company's 38a-1 program
• Monitor regulatory activity and advise management on impactful items
• Develop and implement compliance policies and procedures for adherence to laws and regulations

Required Qualifications, Training, and Education

• Bachelor's degree in Business, Finance, Law, or a related field; JD and FINRA license preferred
• 5-7 years of experience with life insurance and annuities
• Experience with periodic testing and reporting of operation activities
• Experience with implementing procedural enhancements