Compliance Analyst II

Compliance Analyst II job is with our exceptional Client, a Dallas‐based provider of a wide range of life insurance, annuity, Medicare supplement, and supplemental health products used to build and preserve the financial security of our policyholders. Do you have experience working in a life or health insurance company compliance or legal department? Then, apply now for this exciting Compliance Analyst II job by clicking on the Apply Now button above! This is Job 2892.

Position Description

Our Client is seeking a talented Compliance Analyst II to assist our Senior Vice President of Compliance and Secretary in several key areas. Above all, will be primarily responsible for the day‐to‐day operations for the following functional areas. Furthermore, this includes ensuring proper documentation on departmental drive, with escalation to supervisor as necessary, for:

  • Day‐to‐day collaboration with and coaching of junior staff on routine matters where they have primary responsibility, including ability to identify and escalate more complex matters;
  • Most noteworthy, start to finish SERFF filings (form, rate, informational, other), including researching and understanding regulations and standards and competitor products and educating key stakeholders, coordinating responses and responding to objections, revising forms, gathering and completing supporting documents, and overall tracking of projects;
  • Complaints (consumer, regulatory, other), including researching applicable laws and regulations, interpreting contract language, drafting complex complaint responses, and ensuring uniform and consistent answers to similar issues and integrity of complaint logs and files;
  • Investigations (regulatory and internal);
  • Familiarity and ability to use industry tools and resources (e.g., ACLI, NAIC), including setting up monitoring systems to identify, track, and implement legal and regulatory changes that impact company;
  • Advertising system, including review and approval of routine pieces, regulatory filing, maintaining of advertising files, and willingness to learn how to customize the system to improve the overall user experience while ensuring compliance;
  • Day‐to‐day management of regulatory exams;
  • Product administration (new product rollout, forms creation and updating, maintaining product catalog);
  • Contract administration (inforce and claim issues, including research, advise, and draft / revise applicable legal forms, review of third‐party subpoenas, levies / liens / garnishments and supervise follow up and responses).

Position Description (Assist):

Furthermore, this talented compliance analyst will assist our Senior Vice President of Compliance and Secretary in several key areas by assisting with the day‐to‐day operations for the following functional areas:

• Audits of Third Party Administrators
• Suitability;
• Holding company filings;
• Drafting of Compliance report for quarterly business reviews, and ensuring overall consistency;
• Maintaining and improving upon departmental files and filing system;
• Finally, projects as assigned.

Basic Qualifications:

  • Above all, 5+ years of legal or compliance experience in the insurance industry
  • Advanced knowledge and interest in the life insurance industry
  • Also, demonstrable experience and knowledge of SERFF, NAIC, and I‐File systems, and other state based regulatory systems
  • Demonstrable ability to monitor, understand, and apply laws, statutes, and regulations through ability to use Westlaw and internet for legal and regulatory research
  • Working knowledge of general software such as Microsoft Office, portable document format, and communication systems
  • Furthermore, working knowledge of insurance product administration systems
  • Also, knowledge of other state‐based regulatory based systems
  • Insurance‐related industry designations
Additional Qualifications:
  • Exemplary organizational and recordkeeping skills, including recommending improvements to the same
  • Able to handle multiple projects, demands and commitments
  • Also, ability to effectively communicate
  • Collaborative attitude
  • Will work independently and take personal initiative in learning new functional areas
  • Furthermore, able to perform a wide range of skill functions ranging from routine administrative tasks and requests, matters involving a mid‐range of complexity, and ability to train junior staff on the same
  • Finally, knowledge of and ability to audit new policy files and procedures

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Additional resource links for Dallas, Texas: City of Dallas and Wikipedia.

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