Compliance Consultant

Confidential Company  •  Thousand Oaks, CA

5 - 7 years experience  • 

$100K - $140K
Posted on 04/21/18 by Mason Ingling
Confidential Company
Thousand Oaks, CA
5 - 7 years experience
$100K - $140K
Posted on 04/21/18 Mason Ingling

Manage the compliance process and serve as a compliance lead for personal lines insurance units.

 

The Job:

 

*** Initiate compliance projects of moderate scope and complexity and lead cross-functional project teams, including directing assigned project team resources.

 

*** Assist in identifying compliance risks associated with new projects, distribution methods and claim practices.

 

*** Develop and implement policies and procedures to address risks and maintain effective operational and compliance controls.

 

*** Develop and maintain compliance systems and processes for assigned operational compliance or sales practices activity such as producer licensing, complaint analysis, recordkeeping, advertising controls, etc.

 

*** Perform evaluations of business and compliance practices through industry benchmarking or "best practices" organization surveys.

 

*** Develop and execute periodic compliance testing and develop recommendations for management.

 

*** Review marketing materials for compliance and ensure appropriate sign-offs and filing requirements are fulfilled.

 

*** Perform analysis of business and compliance risk and associated controls and evaluate information and testing to assess effectiveness.

 

*** Prepare written responses to address regulatory exams raised through complaints, market conduct exams, and other inquiries.

 

*** Perform analysis of new and revised laws, rules, and regulations in order to maintain and ensure compliance requirements and communicate results to ensure necessary changes are made.

 

Opportunity comes with a generous salary package, bonuses, full medical benefits, tuition reimbursement, 401(k) retirement plan, flexible paid time off, numerous professional growth opportunities, and more!

 

Please reference #37869109 when responding.Education Requirements: Bachelor DegreeMinimum Experience Requirements: 5-10 yearsJob City Location: Thousand OaksJob State Location: CAJob Country Location: USA

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