Compliance

• Coordinate and respond to regulatory complaints, exams and inquiries by collecting information, drafting responses and ensuring timely, accurate submissions that meet all regulatory requirements
• Collaborate with internal business areas, legal, and compliance teams to investigate issues, validate information and support continuous improvement of regulatory response process
• Support the development and maintenance of procedures, templates and reports related to regulatory engagement and oversight activities
• Receive notifications regarding new or revised regulations and take action to implement policies, procedures, processes and forms to support the business line
• Communicate and support changes to field, internal staff and other affected areas
• Participate in periodic audits and maintain document of compliance processes
• Performs compliance reviews, enterprise assessments and policy/procedure reviews as directed
• Actively identify risks to the business, products, work and associates
• Participates in the preparation of regulatory filings and/or forms to meet business needs and comply with the substance and language requirements of regulatory authorities in all states

Analyst II, Compliance

Product Compliance Manager

Chief Compliance Officer

Associate Director, Commercial Regulatory Affairs

Lead Analytics Consultant – Compliance Data, Analytics, and Visualization

Compliance Analyst – WFG, TFA