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Years of Experience
Date Last Verified
ProfileRegulatory Compliance Counsel The candidate supports the Regulatory Control and Compliance function within the Law Department. The successful candidate will play a critical role in managing the company’s insurance market conduct regulatory examinations, inquiries and reporting obligations, and will also be responsible for providing broader legal guidance and interpretation on regulatory communications directed to the company. The candidate will also participate in the development and implementation of various enterprise compliance programs and procedures to help mitigate compliance exposure to regulatory sanctions, fines and penalties. Partner with the Director of Market Conduct to serve as liaison to state insurance departments for regulatory examinations, inquiries and investigations, and assist in the supervision, collection and orderly production of company information and materials responsive to underlying regulator requests. Provide analytical support for and assist in the development of corporate-level compliance programs (policies and procedures), including the corporate Code of Conduct; political engagement; information privacy; records retention; and anti-bribery and anti-corruption. Lead preparation of internal written materials and presentations for delivery to business partners to ensure awareness and understanding of key regulatory developments impacting the enterprise (occasionally present findings and reports to compliance and risk committees). Regularly track and report on regulatory developments of interest to the enterprise. Must have J.D. from an accredited law school and licensed to practice law in at least one jurisdiction. Should have 2-5 years major law firm or corporate in-house experience. Must have broad knowledge and understanding of relevant insurance and financial services regulation. Experience interacting with regulatory bodies and agency officials, as well as senior level company officers are needed.
Ref - 17000515