Senior Regulatory Associate

Job Summary

A company is looking for a Senior Regulatory Associate.

Key Responsibilities

• Serve as compliance consultant for complex inquiries and provide consultation on business processes
• Monitor regulatory activity and manage compliance implementation of new process requirements
• Provide compliance support for variable product lines and develop compliance policies and procedures

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, with strong knowledge of related products
• Experience with periodic testing and reporting of operational activities
• Experience with implementing procedural enhancements