Job Details

Compliance Manager, Agency

Company name

Organization Type


Job Type


Years of Experience

Min 5 yrs required


White Plains, NY

Date Last Verified

Oct 13,2017

Posted on

Aug 04,2017
Practice Area
Corporate >> Corporate - General
Insurance Coverage >> Insurance Coverage
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Compliance Manager, Agency The candidate will develop and implement compliance policies and procedures for the independent agency business. Work with internal and external business partners on compliance and related matters. Primary responsibilities: Management: Taking business and legal priorities into account, develop and implement compliance policies and procedures to achieve general corporate and insurance compliance goals including: Actively participate in compliance change management initiatives (including Compliance Action Team); Analyze and respond to compliance questions; Manage the resolution of regulatory inquiries and reviews (including complaints, market conduct exams, and surveys); Develop and maintain a compliance program that includes providing guidance to internal and external partners, as a subject matter expert; Oversee compliance related to our independent agents, including compliance with licensing and appointment requirements, advertising and sales requirements, as well as telemarketing and privacy laws; Conduct and oversee audits of third party business partners; and Develop and roll-out compliance with law and Code of Conduct Training; and Other related compliance tasks, as needed. Product Development and Policy Filings: Draft, amend and analyze individual life and health policy forms for independent agency business in accordance with state and federal laws, file these forms and negotiate approvals from Insurance Departments. Work with Agency Department. Procedure Manuals / Development and Maintenance: Ensure that documented compliance guidance is in place for internal associates as well as external business partners. Responsible for developing and updating general compliance guidance for life and health product sales through independent agency partners. Advertising Compliance Oversight: Work with the independent agency business partners in reviewing and approving advertising (e.g., websites, sales scripts and correspondence), and assure such advertising is filed for approval, as required. Legal Research: In consultation with Legal, research and analyze laws and regulations to provide written guidance to business partners for implementation. Contract Review: In consultation with Legal, review and revise agency business partner contracts, for compliance purposes. Contract Review: In consultation with Legal, review and revise agency business partner contracts, for compliance purposes.

Qualification and Experience

The candidate should have Bachelor’s degree, Advanced degree (preferred). Should have 5+ years compliance or regulatory experience, insurance experience preferred. Knowledge of legal research engines (e.g., Westlaw). Proficient with Microsoft Office. Knowledge of SERFF filing protocols desirable. Leadership skills with the ability to energize and coach others. People skills including the ability to influence, gain commitment and effectively handle conflict. Ability to take decisive action. Excellent research, interpersonal skills. Ability to identify and analyze laws and regulations for application to business operations. Ability to identify and effectively manage and resolve compliance issues. Excellent verbal and written communication skills. Ability to organize and prioritize work. Ability to learn and use electronic compliance programs (e.g., RegEd (Code) and Serengeti).

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