Compliance Officer – Life Insurance

Compliance Officer – Life Insurance and Fixed Annuity job with growing life insurance and annuity company! Above all, our Client is seeking an experienced compliance professional capable of autonomously performing all Compliance and Legal related functions of the holding companies. Do you have substantial experience in Compliance within the individual life insurance and fixed annuity markets? If so, apply now for this Compliance Officer – Life Insurance job by clicking on the Apply Now button above! This is Job 2890.


Well-qualified candidates for this Compliance Officer – Life Insurance and Fixed Annuity job would exhibit substantial experience in these key areas within the individual life insurance and fixed annuity markets:

  • Above all, Company policy/miscellaneous form filing.  Ensure company filings and form filing submissions are completed in a timely fashion in compliance with state insurance regulations.  Knowledge of the interstate compact regulations, SERFF system, and UCAA systems are required.
  • Furthermore, Operations Audits (where required).  Ensure internal company operations and those at TPAs/Reinsurers follow state regulations. Create and file any associated documents as required by regulators or auditors.
  • Most noteworthy, Monitor regulation changes.  Monitor and implement any regulatory changes that may affect the Company.  Ensure affected operations areas are in compliance with new requirements. Report to regulators of changes in Company operations or personnel.
  • Also, Review and approve advertising.  Ensure that advertising meets state and federal guidelines.  Ability to communicate with independent agents on required changes.
  • Most noteworthy, respond to complaints and litigation, including department of insurance complaints.  Serve as the corporate contact for all matters related to complaints and litigation.  Responsible for the creation and oversight of the complaint log.
  • Furthermore, market Conduct Exam coordinator.  Serve as a liaison between state insurance examiners and the company.  Respond to all requests and respond to the draft and final reports.  Ensure any deficiencies in the operations areas are corrected.
  • Corporate Records maintenance.  Creating, filing, and ensuring that all required corporate filings related to normal insurance company operations are completed in a timely fashion.
  • Also, coordinate and implement AML, OFAC, Anti-fraud, Cybersecurity (CEBA Risk Mgmt. Solution) and Privacy training.
  • Most noteworthy, claims/Rescission coordination.  Participate in reviewing life insurance contestable claims, carefully considering all relevant facts and providing expertise in the area of determining material misrepresentation, fraud, intent to deceive, and causal connection requirements by state.
Additional Qualifications
  • Furthermore, TPA/CEO License Renewals, Annual Reports, SOS Annual Reports and Registration
  • Most noteworthy, Holding Company Reporting Form B, Form C and Form F.
  • Texas Department of Banking Annual Reports, Permit Renewals and Exams
  • Also, assist with Compliance-Related Issues related CPA Audits, TPA Audits, Texas Department of Insurance and Texas Department of Banking Exams.
  • Maintain Company Compliance Calendar
  • NAIC Policy locator review and reporting for Company and TPA clients.
  • Also, MCAS reporting
  • Finally, generate and/or review corporate contracts for execution, enforcement, amendments, or termination.

Minimum Requirements

  • Above all, 10+ years regulatory and operations compliance experience in the individual Life and Annuity insurance markets
  • Furthermore, demonstrated track record handling consumer complaints and communicating with state departments of insurance, as well as direct experience with the UCAA and SERFF systems. 
  • Finally, preferred experience includes a Juris Doctorate degree (with ability to represent insurance company domiciled in Texas and licensed in New Mexico, Oklahoma, Arizona and Colorado) , LOMA or other insurance home office training designations and experience with IMO/Broker/Agent contracting.

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