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- Work with sales leadership on findings and follow up as appropriate
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- Maintain records and evidence of review
- FINRA Series 6 License required
- 5+ years of experience in expense controls, compliance, risk management, or audit
- 5+ years of experience related to the supervision and controls related to non-cash compensation
- Deep Knowledge of FINRA rules on non-cash compensation and how it applies to CMD sales and distribution
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Ability to work independently and as part of a team
- Comfortable acting as a leader without having direct authority, to drive compliance across support teams
- Experience in developing policies and procedures
- 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
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Senior Sales Compliance Analyst - Newport Beach, United States - Pacific Life
Description
Job Description:
Providing for loved ones, planning rewarding retirements, saving enough for whatever lies ahead - our policyholders count on us to be there when it matters most.
We collaborate and innovate - pushing one another to transform not just Pacific Life, but the entire industry for the better.
Why? Because it's the right thing to do. Pacific Life is more than a job, it's a career with purpose.It's a career where you have the support, balance, and resources to make a positive impact on the future - including your own.
We're actively seeking a talented Senior Sales Compliance Analyst to join our Sales Experience and Enablement Team in a hybrid capacity out of either our Newport Beach, CA or Omaha, NE office, with at least two days per week in office.
As a Senior Sales Compliance Analyst, you'll play a key role in Pacific Life's growth and long-term success by building rapport with sales leadership and sales teams to collaborate on improving control systems, and providing training and guidance regarding various compliance requirements.
Additionally, you will also collaborate with Corporate Treasury and Sales Intelligence on technology needs, including Concur integration and development/improvement of control systems and reporting.
The ideal candidate will have a robust understanding of FINRA rules on non-cash compensation and how it applies to Consumer Markets Division (CMD) sales and distribution.
How you will make an impact:
The experience you will bring:
What will make you stand out:
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.
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.
