Senior Sales Compliance Analyst - Newport Beach, United States - Pacific Life

Pacific Life Newport Beach, United States

1 week ago

Description

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 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:
Collaborate with compliance on regulatory requirements, violations, appropriate supervision, and procedure development
Responsible for helping to ensuring that a proper system of reporting and approval controls is in place to facilitate sales leadership's supervision in accordance with our written supervisory procedures (WSPs)
Monitor Tableau reports for gifts and entertainment meals/activity (including business meals) for expenses outside of guidelines, De-Minimis Review, Office visits, and Education Events
Monitor promotional items in Salesforce/Concord systems and research and validate violations to ensure accuracy
Work with sales leadership on findings and follow up as appropriate
Collaborate with compliance on regulatory requirements, violations, appropriate supervision, and procedure development
Maintain records and evidence of review

The experience you will bring:
FINRA Series 6 License
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

What will make you stand out:
Comfortable acting as a leader without having direct authority, to drive compliance across support teams
Experience in developing policies and procedures

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.

Whether you are focusing on your physical, financial, emotional, or social wellbeing, we've got you covered.

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.
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