Regulatory Compliance Associate Hybrid
Regulatory Compliance Associate Hybrid
Posted on :
17-04-2025
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1 Vacancy
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Job Description
Under supervision of the Director of the Compliance Testing Group CTG the Associate performs riskbased evaluations of Protective Life Corporation and its subsidiaries regulatory compliance adherence to policies and procedures and operational effectiveness through the timely of compliance testing engagements.
The Associate will conduct testing engagements; document the scope; findings; conclusion and remediation in a formal test report. This position will work closely with the Director to ensure effective and quality results are delivered.
The Associate will also:
Research regulatory requirements and establish testing criteria.
Request data and perform testing.
Discuss findings with compliance and business partners.
Communicate test results to impacted management partners via oral and written reports.
Support the development and completion of remediation plans by business partners to ensure identified risks are addressed.
Participate in projects as assigned.
General areas of focus:
Market Conduct Preparedness
New and existing regulation
Remediation of State DOI examination findings and recommendations
Corporate policies
Third party contracts and agreements
Acquisitions
Life and Annuity Operations
SEC Rule 38a1 compliance
Qualifications:
- Bachelors degree preferred.
- internal auditor
- financial institution operations
- compliance professional
- life & annuity operations
- regulatory examinations
- SEC Rule 38a1
- Variable life and annuities
Experience:
Five years of experience (any combination):
Knowledge Skills and Abilities:
- Demonstrated knowledge of state and federal laws and regulations covering Protectives suite of products and services preferred.
- Demonstrated ability to perform statistical analyses of operational and financial data.
- Ability to perform tests under general supervision and draft reports.
- Demonstrated organizational skills and ability to prioritize effectively.
- Attention to detail.
Computers and Technology: Proficient in Microsoft Office Suite with a heavy emphasis on Microsoft Excel. Experience with Archer and audit data analysis/extraction tools a plus.
Certificates Licenses and Registration: Certified Public Accountant (CPA) Certified Internal Auditor (CIA) and/or Certified Fraud Examiner (CFE) or Certified Regulatory Compliance Manager preferred.
Protectives targeted salary range for this position is $51500 to $72000. Actual salaries may vary depending on factors including but not limited to job location skills and experience. The range listed is just one component of Protectives total compensation package for employees.
This position also offers additional incentive opportunitiesthrough an annual incentive based on individual and Company performance.
#LIEH1
Required Experience:
IC
Employment Type
Full-Time
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