- 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.
- Leverage automation technology to improve efficiency, accuracy, and develop new functionality for Marketing Compliance initiatives and responsibilities.
- Review and monitor submissions of correspondence, client and employee accounts, producer sales activity, consumer complaint process, and the organization's standards of conduct.
- Find opportunities to coordinate compliance activities with other areas to promote learning and sharing of best practices and ideas.
- 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.
- Uses best practices and knowledge of internal or external business issues to improve products or services.
- 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.
- 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.
- 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 Compliance Analyst - Newport Beach, United States - Pacific Life
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 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:
The experience you will bring:
What will make you stand out:
At Pacific Life we are committed to a culture of belonging, a space where all employees are empowered to be authentic.
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.
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.
