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Senior Compliance Analyst - California, United States - Pacific Asset Management
Description
Senior Compliance Analyst page is loadedSenior Compliance Analyst
Apply
locations
Newport Beach CA-700
time type
Full time
posted on
Posted 2 Days Ago
job requisition id
R12184
Job Description:
Pacific Life is investing in bright, agile and diverse talent to contribute to our mission of innovating our business and creating a superior customer experience.
We're actively seeking a talented Senior Compliance Analyst to join our Distribution & Marketing Compliance team in Newport Beach, CA.
This role can be on-site or hybrid.As a
Senior Compliance Analyst , you'll play a key role in Pacific Life's growth and long-term success by
by
supporting the CMD business unit in review and approval of marketing and sales material, providing regulatory consultation, and providing solutions to help the meet business needs and regulatory requirements .
How you will make an impact:
Provides compliance support to a business unit, or multiple related units, reviewing business operating practices, and administrative procedures and internal controls to determine if they are within company standards and regulatory requirements.
Reviews and analyzes sales and marketing materials, completes appropriate filings, and coordinates regulator audits and litigation requests.
Help find ways to support the business unit to rethink how to innovate content creating process and develop content that are appealing to consumers as well as meeting regulatory expectations.
Assists in the unit's compliance training initiatives including designing, developing, maintaining, implementing, and coordinating, training and communications related to compliance policies and procedures covering employees and third parties including producers, suppliers, vendors, and end clients.
Review and monitor submissions of correspondence, client and employee accounts, producer sales activity, consumer complaint process, and the organization's standards of conduct.
The experience you will bring:
4-year degree or equivalent experience or 5 years experience in compliance field.
Excellent written and verbal communication, along with a professional and collaborative demeanor.
Leadership abilities, including interpersonal savvy, courage, decision quality, driving engagement and resourcefulness.
Proficient computer skills, including Microsoft Office products, SharePoint, MS Teams.
Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
Ability to solves complex problems and develop new perspectives using existing solutions.
Comfortable working both independently with minimal supervision and open to collaborating with team and other Office of General Counsel teams when necessary.
What will make you stand out:
Series 6 and 26 FINRA licenses.
Strong knowledge of state regulatory requirements pertaining to sales and marketing.
2+ years Life Insurance and/or annuity related and/or compliance experience preferred.
In-depth knowledge and experience tied to financial services and insurance industries.
You belong at Pacific Life
At Pacific Life we are committed to a culture of belonging, a space where all employees are empowered to be authentic.
One way we cultivate an inclusive culture is through our employee connection groups.The purpose of these employee-led groups is to offer a place to build community, connection, camaraderie, and a sense of belonging.
Each group can be active in education, advocacy, recruitment, and community building throughout our organization. Learn more about our employee connection groups atWant to learn more about life at Pacific Life? Take an inside look at our company culture:
#LI-MT1
#LI-Hybrid
Base Pay Range:
The base pay range noted represents the company's good faith minimum and maximum range for this role at the time of posting.
The actual compensation offered to a candidate will be dependent upon several factors, including but not limited to experience, qualifications and geographic location.
Also, most employees are eligible for additional incentive pay.$98, $119,900.00
Your Benefits Start Day 1
Your wellbeing is important to Pacific Life, and we're committed to providing you with flexible benefits that you can tailor to meet your needs.
Prioritization of your health and well-being including Medical, Dental, Vision, and Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents
Generous paid time off options including: Paid Time Off, Holiday Schedules, and Financial Planning Time Off
Paid Parental Leave as well as an Adoption Assistance Program
Competitive 401k savings plan with company match and an additional contribution regardless of participation
EEO Statement:
Pacific Life Insurance Company is an Equal Opportunity /Affirmative Action Employer, M/F/D/V.
If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disability.
To request an accommodation, contact a Human Resources Representative at Pacific Life Insurance Company.Where Power Meets Purpose
You Belong at Pacific Life
At Pacific Life we are committed to a culture of belonging, a space where all employees are empowered to be authentic.
One way we cultivate an inclusive culture is through our employee connections groups.The purpose of these employee-run groups is to offer a place to build community, connection, camaraderie, and a sense of belonging.
Each group can be active in education, advocacy, recruitment, and community building throughout our organization. Learn more about our employee connection groups at Connection Groups .Introduce Yourself
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