Senior Vice President of Compliance

Senior Vice President of Compliance opportunity! Above all, our Client is 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. Most noteworthy, Dallas, Texas, location. Position is not remote eligible. Relocation assistance will be offered. Also, the salary range is between $150k – $175k.  Most noteworthy, if there were a super qualified person, our Client might stretch to $200k. Yet, that would be the absolute cap. Also, bonus will be discretionary, up to 20%, 10% expectation. Above all, are you a J.D. with 10+ years legal and regulatory compliance experience in the individual Life, Health, and Annuity market segments? If so, apply now for this exciting Senior Vice President of Compliance job by clicking on the Apply Now button above! This is Job 2894.

Position Summary


The Senior Vice President of Compliance leads our Client’s compliance team. Above all, this positions is responsible for a wide‐range of regulatory, legal, and corporate compliance functions within the life, health, and annuity market segments.

Primary Job Tasks and Responsibilities

Above all, well‐qualified candidates would exhibit substantial experience in these key areas within the
individual life, health, and annuity markets:

  • First of all, company and policy form filing. Ensure company filings and policy 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.
  • Second, operations audits. Ensure company operations at our TPA’s are in compliance with state insurance regulations. Create, distribute, and file with DOIs (where required).
  • Third, monitor regulation changes. Monitor and implement any regulatory changes that may affect the Company. Ensure affected operations areas are in compliance with new requirements.
  • Furthermore, review and approve advertising. Ensure that advertising meets state and federal guidelines. Ability to communicate with independent agents on required changes.
  • Also, respond to complaints and litigation, including department of insurance complaints.
  • Most noteworthy, serve as the corporate contact for all matters related to complaints and litigation.
  • Also, responsible for the creation and oversight of the complaint log.
  • Furthermore, regulatory 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.
  • Most noteworthy, corporate records maintenance. Creating, filing, and ensuring that all required UCAA corporate filings related to normal insurance company operations are completed in a timely fashion.
  • Finally, 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.

Education

  • Above all, Juris Doctorate (JD) degree
  • Most noteworthy, 10+ years legal and regulatory compliance experience in the individual Life, Health, and Annuity market segments
  • Finally, LOMA or other insurance home office training designations and/or NASD designations (including Series 6, 26, and 63) as well as Broker‐Dealer experience.

Experience

  • Above all, direct experience with the UCAA and SERFF systems.
  • Furthermore, strong analytical ability
  • Most noteworthy, detail oriented
  • Also, ability to effectively communicate between multiple departments
  • Collaborative attitude
  • Staff management experience
  • Ability to work independently and take personal initiative ‐ with a strong desire to learn
  • Finally, demonstrated track record handling consumer complaints and communicating with state departments of insurance.

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

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