Sr Associate Regulatory

About the role

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, develop timely and accurate responses by researching applicable rules, regulations, and laws, and act as a liaison between regulators and internal business partners.

Responsibilities

• Effectively manage regulatory inquiries of PLICO and affiliated insurance companies.
• 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, including areas such as Policy development, Privacy, AML, and Code of Conduct.

Requirements

• 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 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.
• Ability to handle pressure and prioritize multiple competing projects.
• Willingness to work overtime occasionally, as needed.

Benefits

• Comprehensive health, dental, and vision insurance.
• Mental health benefits and an employee assistance program.
• Paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day).
• Financial wellbeing benefits including contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching.
• ProHealth Rewards, a 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.

Pay

Protective’s targeted compensation for this position is $90k–$110k. Actual salaries may vary depending on factors including but not limited to job location, skills, and experience. This position also offers additional incentive opportunities through an annual incentive based on individual and Company performance.