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Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Insurance Coverage
Litigation - Whistleblower - CFTC
Min 8 yrs required
Compliance Consultant Duties: Will have responsibility for providing in compliance support for insurance products (with emphasis on products offered through the Worksite/Retirement Services division), although the newly qualified solicitor position will be part of [the U.S. Insurance Group Compliance] organization and will report to the head of the [Insurance Compliance] section. Handles complex long-term focused projects involving multiple disciplines or business units Works independently and with management on high visible, divisional/cross-divisional complex projects. Sought as a key resource for resolution of unique or complex business problems. Advances the interest of the company by serving on teams that are external to the organization when appropriate. Drives continuous improvement and efficiencies beyond own scope of responsibility. Will be responsible for providing compliance support across a variety of matters, including: Serving as the primary compliance representative for the Workplace Insurance Products business, Development of compliance program, providing day-to-day compliance support to the Workplace business, and participating as a member of the Workplace Insurance Products leadership team. Providing compliance support, participation and cross training in connection with development and ongoing administration of Workplace Insurance Products such as: worksite group and individual life and health products,executive life and disability products and bank-owned and corporate-owned life insurance. Providing compliance support in connection with engaging newly qualified solicitor distribution channels (including private insurance exchanges) and onboarding newly qualified solicitor distribution partners (such as due diligence and ongoing monitoring), as well as the development, implementation and ongoing support of online enrollment and insurance guidance and education tools. Providing day-to-day guidance in connection with compliance issues impacting third party vendors and service providers for the Workplace insurance business, including development of vendor compliance policies and procedures on such matters as anti-money laundering controls, OFAC/FinCEN checks, abandoned property, privacy, data security, records retention and complaint handling; periodically reviewing communications, marketing materials and product training for workplace insurance products. Will be in the U.S. Insurance Group Compliance division of company, but will be dedicated to support the Workplace insurance business which is part of company's Retirement Services division. Will have responsibility for regularly coordinating with compliance representatives of both divisions on significant or cross-department projects or matters that jointly affect both business lines.
Qualification and Experience
Qualification Requirements: A BA/BS degree, with a J.D. or other advanced degree (e.g., MBA) preferred. FINRA Licensing series 6 and 26 preferred. 8+ years of related experience. 5 years of minimum experience in insurance industry working with insurance products. Experience and particular focus on Group (and group marketed) Insurance products is optimal. Results-oriented, hands on professional. Strong analytical skills and ability to demonstrate understanding of how products are impacted by regulatory requirements. Clear and concise oral and written communication skills, and ability to interact with all levels. Ability to adapt to changing requirements as regulatory or business needs. Broad strategic thinking, but ability to provide practical compliance guidance on discreet compliance questions. Strong understanding of how company does business and how company's products are sold. Ability to work collaboratively with other members of USIG, USIG Compliance and Retirement Services business partners, and to take an enterprise and strategic view toward recommending and implementing solutions. Demonstrated legal or compliance experience in insurance or financial services industry.
Reference Code 0002-NC50629465_003.
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