Sr Associate Regulatory

Responsibilities

• Effectively manage regulatory inquiries of PLICO and affiliated insurance companies.
• Responsible to 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.

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.

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 skills and investigative skills
• Able 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
• Must have the ability to handle pressure and prioritize multiple competing projects
• Willing to work overtime occasionally, as needed

Employee Benefits

• Comprehensive health, dental and vision insurance
• Mental health benefits and an employee assistance program
• Paid time off, paid parental leave, short-term disability, and a cultural observance day
• Contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching
• ProHealth Rewards platform to improve wellbeing while earning cash rewards

Pay

$90k-$110k

Schedule

N/A