Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
Regulatory Analyst Responsibilities: Prepare securities filings for variable life and variable annuity products Regulatory examination support (SEC, FINRA). Contract review for broker dealer and variable insurance separate accounts. Support various tasks with respect to fixed and variable products. Provide support for Investment Products and Securities Regulation Team attorneys and work with other Regulatory Analysts as assigned. Support tasks associated with variable product fund managers. Preparation of periodic compliance reporting to parent company. Support for integration of acquired blocks of variable products. Research projects as needed. Additional duties as appropriate given experience and talent.
Qualification and Experience
Requirements: Bachelor’s degree and additional advanced training or experience such as a paralegal certificate, JD Degree or other appropriate advanced degree required. 2-3 years of experience in the legal field is required. Experience with contract analysis and review preferred. Competence in MS Word, Excel and PowerPoint is required Must have strong organizational, teamwork and communication skills Attention to detail is required Must have the ability to handle pressure and prioritize multiple competing projects Must be willing to work overtime as needed.
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