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CATEGORY:Other
DESCRIPTION:
Supports the Compliance Department and business operations in compliance product filings and regulatory review as well as research and regulatory analysis. Position is responsible for projects that are complex in nature and requires experience in insurance and compliance. This position also mentors Compliance staff.
- Complete investigation and draft responses for complaints, grievances and agent investigations, with oversight from Compliance Manager.
- Collaborates with internal departments and third parties, as needed, to gather documentation to complete investigations.
- Submits responses to complaints / grievances using the appropriate communication format (i.e., online portal, email, mail, etc.).
- Manages and completes compliance projects from original concept through final implementation working in concert with Compliance Manager.
- Research, analysis and interpretation of regulatory compliance, as needed.
- Complete external and internal audits as well as new business due diligence research, as needed.
- Review marketing/advertising material and program policies underwritten by company, as needed.
- Assist with responding to Market Conduct Exams or investigations from States and / or the Federal Government.
- Performs other related duties as assigned by management.
- LOMA courses, Fellow, Life Management Institute; Associate in Regulatory Compliance is preferred.
- Agent and producer management experience preferred.
- Working knowledge of life and health insurance company operations.
- 3-5 years prior compliance experience.
- Knowledge of industry research tools and networks.
- Project and time-management skills.
- Ability to effectively prioritize work activities to accomplish assigned duties under deadline pressure.
- Strong communication skills with ability to effectively interact with internal employees, insurance departments and external representatives.
- Experience with life and health policies, preferred.
- Strong knowledge of insurance compliance.
- Computer skills preferred: Regulatory Software (i.e. OneSum, Company specific systems, Westlaw, Compliance Software (SERFF, I-FILE))
- Computer skills required: (Email Software (Outlook); Internet Software; Spreadsheet Software (Excel); Word Processing Software (Word); and PDF Conversion Software (Adobe).
- 4 day work week 10 hours a day
- Please contact Joy Davis at 913-327-2865 and email resume to joy.davis@spencerreedgroup.com
