Regulatory Compliance Associate II (Hybrid, Birmingham Al)
Regulatory Compliance Associate II (Hybrid, Birmingham Al)
Posted on :
09-05-2025
Employer Active
1 Vacancy
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Monthly Salary
$ 62000 - 91000
Vacancy
1 Vacancy
Posted on :
09-05-2025
Job Description
The work we do has an impact on millions of lives and you can be a part of it.
Wehelp protect our customers against lifes ofwhere you work within thecompany youll behelping provide protection and peace of mind when our customers need it most.
Under supervision of the Director of the Compliance Testing Group CTG the Associate II performs riskbased evaluations of Protective Life Corporation and its subsidiaries regulatory compliance adherence to policies and procedures and operational effectiveness through the timely execution of compliance testing engagements.
The Associate II 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 II 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.
Assist in conducting organizational and line of businessspecific risk assessments to support the creation of the annual compliance testing plan.
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
Minimum Qualifications
Education:
- Bachelors degree preferred
Experience:
- Internal auditor
- Financial institution operations
- Compliance
- Life & annuity operations
- Regulatory examinations
- SEC Rule 38a1
- Variable life and annuities
Seven to nine years of experience (any combination):
Knowledge Skills and Abilities:
- Knowledge of state and federal laws and regulations covering Protectives suite of products and services preferred.
- Ability to perform statistical analyses of operational and financial data.
- Ability to perform tests under general supervision and draft reports.
- Strong written/oral communication skills including ability to conduct presentations effectively and professionally.
- Organizational skills and ability to prioritize effectively.
- Good 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.
Certificates Licenses and Registration: Certified Public Accountant (CPA) Certified Internal Auditor (CIA) and/or Certified Fraud Examiner (CFE) or Certified Regulatory Compliance Manager preferred.
$62000 $75000 a year
Protectives targeted salary range for this position is $62000 to $91000. 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.
Employee Benefits:
We aim to protect the wellbeing of our employees and their families with a broad benefits offering. In addition to offering comprehensive health dental and vision insurance we support emotional wellbeing through mental health benefits and an employee assistance balance is important and Protective offers a variety of paid time away benefits (e.g. paid time off paid parental leave shortterm disability and a cultural observance day).The financial health of our employees is just as important as physical and emotional health. Some of the financial wellbeing benefits include contributions to healthcare accounts a pension plan and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards Protectives platform to improve wellbeing while earning cash rewards.
Eligibility for certain benefits may vary by position in accordance with the terms of the Companys benefit plans.
Accommodations for Applicants with a Disability:
If you require an accommodation to complete the application and recruitment process due to a disability please email. This information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process.
Please note that the above email is solely for individuals with disabilities requesting an accommodation. General employment questions should not be sent through this process.
We are proud to be an equal opportunity employer committed to being inclusive and attracting retaining and growing an inclusive workforce.
Required Experience:
IC
Employment Type
Full-Time
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