Sr Associate Regulatory

Job description

The work we do has an impact on millions of lives, and you can be a part of it. We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most. The Senior Compliance Analyst of the Regulatory Affairs and Market Conduct team works with state regulators and other external parties to manage inquiries and examinations of Protective Life Insurance Company (“PLICO”) and its insurance affiliates. This position will work across the organization to obtain information and respond to regulatory inquiries. In addition, develop timely and accurate responses to inquiries/examination questions by researching applicable rules, regulations, and laws. The Senior Compliance Analyst will act as a liaison between regulators and internal business partners. The position will clarify requests from regulators and review information provided by business partners to ensure it is responsive and effectively advocates the company’s position. The position will work closely with the division compliance teams to gather information and review relevant regulatory requirements. In addition, will collaborate with counsel to assist in the review and drafting of regulatory responses. Success in this role requires analytical and organizational skills, efficiency, motivation, communication and writing skills, attention to detail, and the ability to independently handle multiple projects in time sensitive situations. Responsibilities: • Effectively manage regulatory inquiries of PLICO and affiliated insurance companies. Responsible to work directly with all necessary parties at the company to collect responses/information, research applicable laws and regulations and formulate responses to examination inquiries • Respond to inquiries from regulatory bodies for information pertaining to insurance and/or securities activities and/or representatives • Partner with the business and divisional compliance units when required regulatory filings must be submitted to designated regulators and coordinate filings in a timely manner • Identify potential areas of risk based on Market Conduct findings; work with the Compliance Testing Group and divisional compliance team to address with business partners • Interact with industry peers and regulators to share and gather information related to emerging regulatory issues likely to be the subject of inquiries and/or examinations or that may otherwise impact the company • Maintain the information to be included in regulatory report updates to keep management abreast of regulatory examinations/inquiries, trends, and emerging issues • Support other compliance department leaders in the development and maintenance of the company’s corporate compliance program. Such areas may include but are not limited to Policy development, Privacy, AML, and Code of Conduct Experience: • College degree (J.D. or paralegal degree preferred) • 5 years of experience with regulatory examinations in an insurance company and/or broader financial industry experience. • Experience with life insurance and annuity products is a plus • Skills and Attributes • Strong organizational and communication (written and verbal) skills • Critical thinking and analytical skills • Effective interpersonal skills to work with diverse styles/cultures • Strong computer research skills and investigative skills • Ability to work effectively with people in all levels/areas of the organization • Autonomous and self-driven but able to partner with others in a team environment • Must have the ability to handle pressure and prioritize multiple competing projects • Must be willing to work overtime occasionally, as needed #LI-SB1 The work we do has an impact on millions of lives, and you can be a part of it. We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most. The Senior Compliance Analyst of the Regulatory Affairs and Market Conduct team works with state regulators and other external parties to manage inquiries and examinations of Protective Life Insurance Company (“PLICO”) and its insurance affiliates. This position will work across the organization to obtain information and respond to regulatory inquiries. In addition, develop timely and accurate responses to inquiries/examination questions by researching applicable rules, regulations, and laws. The Senior Compliance Analyst will act as a liaison between regulators and internal business partners. The position will clarify requests from regulators and review information provided by business partners to ensure it is responsive and effectively advocates the company’s position. The position will work closely with the division compliance teams to gather information and review relevant regulatory requirements. In addition, will collaborate with counsel to assist in the review and drafting of regulatory responses. Success in this role requires analytical and organizational skills, efficiency, motivation, communication and writing skills, attention to detail, and the ability to independently handle multiple projects in time sensitive situations. Responsibilities: • Effectively manage regulatory inquiries of PLICO and affiliated insurance companies. Responsible to work directly with all necessary parties at the company to collect responses/information, research applicable laws and regulations and formulate responses to examination inquiries • Respond to inquiries from regulatory bodies for information pertaining to insurance and/or securities activities and/or representatives • Partner with the business and divisional compliance units when required regulatory filings must be submitted to designated regulators and coordinate filings in a timely manner • Identify potential areas of risk based on Market Conduct findings; work with the Compliance Testing Group and divisional compliance team to address with business partners • Interact with industry peers and regulators to share and gather information related to emerging regulatory issues likely to be the subject of inquiries and/or examinations or that may otherwise impact the company • Maintain the information to be included in regulatory report updates to keep management abreast of regulatory examinations/inquiries, trends, and emerging issues • Support other compliance department leaders in the development and maintenance of the company’s corporate compliance program. Such areas may include but are not limited to Policy development, Privacy, AML, and Code of Conduct Experience: • College degree (J.D. or paralegal degree preferred) • 5 years of experience with regulatory examinations in an insurance company and/or broader financial industry experience. • Experience with life insurance and annuity products is a plus • Skills and Attributes • Strong organizational and communication (written and verbal) skills • Critical thinking and analytical skills • Effective interpersonal skills to work with diverse styles/cultures • Strong computer research skills and investigative skills • Ability to work effectively with people in all levels/areas of the organization • Autonomous and self-driven but able to partner with others in a team environment • Must have the ability to handle pressure and prioritize multiple competing projects • Must be willing to work overtime occasionally, as needed #LI-SB1 Employee Benefits: We aim to protect the wellbeing of our employees and their families with a broad benefits offering. In addition to offering comprehensive health, dental and vision insurance, we support emotional wellbeing through mental health benefits and an employee assistance program. Work/life balance is important and Protective offers a variety of paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day). The financial health of our employees is just as important as physical and emotional health. Some of the financial wellbeing benefits include contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards, Protective’s platform to improve wellbeing while earning cash rewards. Eligibility for certain benefits may vary by position in accordance with the terms of the Company’s benefit plans. Accommodations for Applicants with a Disability: If you require an accommodation to complete the application and recruitment process due to a disability, please email eric.hess@protective.com. This information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process. Please note that the above email is solely for individuals with disabilities requesting an accommodation. General employment questions should not be sent through this process. We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing an inclusive workforce. The work we do has an impact on millions of lives, and you can be a part of it.We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most. The Senior Compliance Analyst of the Regulatory Affairs and Market Conduct team works with state regulators and other external parties to manage inquiries and examinations of Protective Life Insurance Company (“PLICO”) and its insurance affiliates. This position will work across the organization to obtain information and respond to regulatory inquiries. In addition, develop timely and accurate responses to inquiries/examination questions by researching applicable rules, regulations, and laws. The Senior Compliance Analyst will act as a liaison between regulators and internal business partners. The position will clarify requests from regulators and review information provided by business partners to ensure it is responsive and effectively advocates the company’s position. The position will work closely with the division compliance teams to gather information and review relevant regulatory requirements. In addition, will collaborate with counsel to assist in the review and drafting of regulatory responses. Success in this role requires analytical and organizational skills, efficiency, motivation, communication and writing skills, attention to detail, and the ability to independently handle multiple projects in time sensitive situations. Responsibilities:• Effectively manage regulatory inquiries of PLICO and affiliated insurance companies. Responsible to work directly with all necessary parties at the company to collect responses/information, research applicable laws and regulations and formulate responses to examination inquiries• Respond to inquiries from regulatory bodies for information pertaining to insurance and/or securities activities and/or representatives• Partner with the business and divisional compliance units when required regulatory filings must be submitted to designated regulators and coordinate filings in a timely manner• Identify potential areas of risk based on Market Conduct findings; work with the Compliance Testing Group and divisional compliance team to address with business partners• Interact with industry peers and regulators to share and gather information related to emerging regulatory issues likely to be the subject of inquiries and/or examinations or that may otherwise impact the company• Maintain the information to be included in regulatory report updates to keep management abreast of regulatory examinations/inquiries, trends, and emerging issues• Support other compliance department leaders in the development and maintenance of the company’s corporate compliance program. Such areas may include but are not limited to Policy development, Privacy, AML, and Code of Conduct Experience:• College degree (J.D. or paralegal degree preferred)• 5 years of experience with regulatory examinations in an insurance company and/or broader financial industry experience.• Experience with life insurance and annuity products is a plus• Skills and Attributes• Strong organizational and communication (written and verbal) skills • Critical thinking and analytical skills• Effective interpersonal skills to work with diverse styles/cultures• Strong computer research skills and investigative skills• Ability to work effectively with people in all levels/areas of the organization• Autonomous and self-driven but able to partner with others in a team environment• Must have the ability to handle pressure and prioritize multiple competing projects• Must be willing to work overtime occasionally, as needed #LI-SB1 The work we do has an impact on millions of lives, and you can be a part of it.We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most. The Senior Compliance Analyst of the Regulatory Affairs and Market Conduct team works with state regulators and other external parties to manage inquiries and examinations of Protective Life Insurance Company (“PLICO”) and its insurance affiliates. This position will work across the organization to obtain information and respond to regulatory inquiries. In addition, develop timely and accurate responses to inquiries/examination questions by researching applicable rules, regulations, and laws. The Senior Compliance Analyst will act as a liaison between regulators and internal business partners. The position will clarify requests from regulators and review information provided by business partners to ensure it is responsive and effectively advocates the company’s position. The position will work closely with the division compliance teams to gather information and review relevant regulatory requirements. In addition, will collaborate with counsel to assist in the review and drafting of regulatory responses. Success in this role requires analytical and organizational skills, efficiency, motivation, communication and writing skills, attention to detail, and the ability to independently handle multiple projects in time sensitive situations. Responsibilities:• Effectively manage regulatory inquiries of PLICO and affiliated insurance companies. Responsible to work directly with all necessary parties at the company to collect responses/information, research applicable laws and regulations and formulate responses to examination inquiries• Respond to inquiries from regulatory bodies for information pertaining to insurance and/or securities activities and/or representatives• Partner with the business and divisional compliance units when required regulatory filings must be submitted to designated regulators and coordinate filings in a timely manner• Identify potential areas of risk based on Market Conduct findings; work with the Compliance Testing Group and divisional compliance team to address with business partners• Interact with industry peers and regulators to share and gather information related to emerging regulatory issues likely to be the subject of inquiries and/or examinations or that may otherwise impact the company• Maintain the information to be included in regulatory report updates to keep management abreast of regulatory examinations/inquiries, trends, and emerging issues• Support other compliance department leaders in the development and maintenance of the company’s corporate compliance program. Such areas may include but are not limited to Policy development, Privacy, AML, and Code of Conduct Experience:• College degree (J.D. or paralegal degree preferred)• 5 years of experience with regulatory examinations in an insurance company and/or broader financial industry experience.• Experience with life insurance and annuity products is a plus• Skills and Attributes• Strong organizational and communication (written and verbal) skills • Critical thinking and analytical skills• Effective interpersonal skills to work with diverse styles/cultures• Strong computer research skills and investigative skills• Ability to work effectively with people in all levels/areas of the organization• Autonomous and self-driven but able to partner with others in a team environment• Must have the ability to handle pressure and prioritize multiple competing projects• Must be willing to work overtime occasionally, as needed #LI-SB1 Employee Benefits: We aim to protect the wellbeing of our employees and their families with a broad benefits offering. In addition to offering comprehensive health, dental and vision insurance, we support emotional wellbeing through mental health benefits and an employee assistance program. Work/life balance is important and Protective offers a variety of paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day). The financial health of our employees is just as important as physical and emotional health. Some of the financial wellbeing benefits include contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards, Protective’s platform to improve wellbeing while earning cash rewards. Eligibility for certain benefits may vary by position in accordance with the terms of the Company’s benefit plans.Accommodations for Applicants with a Disability:If you require an accommodation to complete the application and recruitment process due to a disability, please email eric.hess@protective.com. This information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process.Please note that the above email is solely for individuals with disabilities requesting an accommodation. General employment questions should not be sent through this process.We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing an inclusive workforce.