Head of US Compliance

3 weeks ago

Philadelphia, United States RQIHUS Full time
Job DescriptionJob Description

JOB PURPOSE

Leads day-to-day regulatory compliance and compliance best practices, oversight of regulatory filings in support of the business, and regulatory engagement for R&Q Legacy. Must have insurance regulatory/compliance experience.

KEY RESPONSIBILITIES

  • Oversee the development, maintenance and administration of a comprehensive program for internal compliance, regulatory controls, and reviews throughout the US to ensure entity-wise compliance with applicable federal and state laws and regulations
  • Lead regulatory engagement by maintaining contact and productive relationships with the regulators of the US businesses
  • Lead troubleshooting in those instances where business practices or business objectives may not mesh with regulatory expectations
  • Keep abreast of regulatory and legal developments governing regulatory compliance and oversee the development and implementation of changes to existing and proposed procedures, policies, and programs
  • Oversee third-party examinations and audits and ensure that information requests from insurance carrier partners, auditors, and regulators are completed accurately and on-time
  • Partner with US business units regarding need for new or revised compliance standards and procedures
  • Oversee drafting and dissemination of new and revised compliance standards and procedures
  • Recognize, develop, and implement cost effective compliance related solutions for the US compliance program
  • Ensure that the US compliance and regulatory controls plan is adhered to by all departments and that company behavior reflects the rules, regulations and related company policies and procedures
  • Provide advice, guidance, and insight to management and staff regarding new/emerging compliance issues and on ethics, business conduct, and compliance matters including the development and oversight of compliance training programs
  • Consult and guide the company in establishment of controls to mitigate compliance risk
  • Identify and communicate the need for compliance education programs and oversee the development and implementation of compliance training for all staff members
  • Oversee third-party examinations and audits and ensure that information requests from insurance carrier partners, auditors, and regulators are completed accurately and on-time
  • Support the US General Counsel in other projects and day to day activities as these arise
  • To maintain compliance with any applicable US, UK, or International statutory or regulatory obligation as required by the role. This includes but not limited to obligations arising from:
    • The prudent management of the business
    • Placing due regard on the interests of customers
    • Observing rules on Sanctions and financial crime
    • Regulatory requirements and local licensing restrictions
    • Promoting and following the Group’s whistleblowing procedures
    • Promoting and providing guidance to reports in relation to the Group’s Whistleblowing policies and procedures
    • Where applicable, following the Company’s Consumer Duty principles to deliver good outcomes for retail customers.

SKILLS / KNOWLEDGE

  • Proficient with a computer, particularly in Microsoft Office suite including Word, Excel, PowerPoint
  • Thorough knowledge of insurance laws and regulations, as well as regulatory and compliance guidelines
  • Excellent leadership skills with an ability to lead, train, motivate, empower, engage, and assist a team, delegate tasks, and problem-solve
  • Strong organizational skills and attention to detail
  • Ability to think critically and analytically, solve problems, and plan and organize activities
  • Ability to work in a fast-paced environment and multi-task effectively under strict deadlines
  • Ability to work independently and collaboratively
  • As a Manger, you are expected to demonstrate the following skills:
    • Teambuilding: Builds consensus via shared decision making. Fosters a sense of shared accountability and group responsibility. Creates a work environment based on inclusiveness, welcoming others’ suggestions, and points of view. Regularly looks for common ground and encourages collaboration among team members.
    • Communication: Communicates clearly and effectively at all levels. Produces easily understandable reports and presentations. Effectively deals with others, both internally and externally. Provides timely feedback and follow up, and encourages open communication, cooperation, and the sharing of knowledge.
    • Leadership: Provides an appropriate amount of structure, direction, and feedback to ensure a high level of group performance. Structures projects and assignments with clear goals and measurable outcomes so that team members can creatively individualize solutions.

Education

  • J.D. with 10 years of insurance regulatory experience strongly preferred. Alternatively, a bachelor’s degree in insurance, law, finance, business administration, or relevant fields, with 15 years of insurance regulatory experience will be considered.
  •  Professional certifications(s) (e.g., Certified Regulatory Compliance Manager (CRCM), Market Conduct Manager (MCM), Certified Risk Professional (CRP), CPCU, etc.) are a plus

Experience

  • 10+ years’ experience in insurance with extensive knowledge, experience, and understanding of insurance operations, and the insurance industry, particularly in insurance runoffs
  • Experience in the insurance regulatory/compliance industry is required. Will driving compliance controls applicable to economic sanctions, anti-money laundering, privacy, conflicts of interest, code of conduct, anti-corruption, anti-trust, anti-boycott, insider trading and records management preferred

  • Head Coach, Women's Triathlon

    3 weeks ago

    Philadelphia, United States La Salle University Full time

    The Head Coach is responsible to direct and oversee all aspects of the assigned NCAA Division I sport program, including but not limited to recruiting, coaching, mentoring, supporting, and developing the student-athletes under their supervision. The Head Coach is responsible for compliance with all Conference and NCAA rules and represents La Salle University...

  • Head of Global Compensation

    7 days ago

    Philadelphia, United States FMC Corporation Full time

    FMC Corporation is a global agricultural sciences company dedicated to helping growers produce food, feed, fiber and fuel for an expanding world population while adapting to a changing environment. FMC's innovative crop protection solutions - including biologicals, crop nutrition, digital and precision agriculture - enable growers, crop advisers and turf and...

  • Head Of Design

    3 days ago

    Philadelphia, United States MOD Worldwide, LLC Full time

    Job DescriptionJob DescriptionABOUTMOD’s Design Department is a multi-faceted team of dreamers and doers who bring our clients’ brands to life through exceptional creative content. As the Head of Design, you will be responsible for managing and directing the design team and their output. You will be a champion for creative excellence, build exceptional...

  • Teacher - Early Head Start

    4 weeks ago

    Philadelphia, United States Maternity Care Coalition Full time

    Job DescriptionJob DescriptionJoin Our Team!Are you passionate about making a difference in the lives of infants and toddlers in classroom setting?Do you have at least one of the following credentials?AA /AAS in Early Childhood Education or equivalent ORAA/AAS in related field with at least 9 credits in Infant / Toddler Development ORInfant-Toddler Child...

  • Summer Compliance Monitor

    2 days ago

    Philadelphia, United States Archdiocese of Philadelphia Full time

    NDS Summer Meals Monitor Job Title: External Compliance Summer Meals MonitorNDS is seeking new staff to work with the Summer Meals Program. Successful External Compliance Monitors enjoy working with a variety of different people, traveling around the city and suburbs, and are confident in teaching and coaching.What is Nutritional Development...

  • Grants Compliance Monitor

    3 weeks ago

    Philadelphia, United States City of Philadelphia Full time

    Job Description The Grants Compliance Monitor is a key staff position for the Office of Community Empowerment and Opportunity (CEO) responsible for monitoring CEO’s subcontract agreements. CEO enters into contracts with community-based organizations and consultants to carry out organizational goals to help low-income Philadelphians move toward...

  • Summer Compliance Monitor

    1 month ago

    Philadelphia, United States Archdiocese of Philadelphia Full time

    Job DescriptionJob DescriptionNDS Summer Meals Monitor Job Title: External Compliance Summer Meals MonitorNDS is seeking new staff to work with the Summer Meals Program. Successful External Compliance Monitors enjoy working with a variety of different people, traveling around the city and suburbs, and are confident in teaching and coaching.What is...

  • Director of Risk Management

    2 weeks ago

    Philadelphia, United States FullBloom Full time

    Director of Risk Management and Compliance Reporting to our Vice President of Compliance, FullBloom is seeking a Director of Risk Management and Compliance to manage/minimize risk across SESI schools. The successful candidate will be a support to the VP, Compliance and assist in all areas of our corporate compliance program and its initiatives. This...

  • Grants Compliance Monitor

    3 weeks ago

    Philadelphia, United States City of Philadelphia Pennsylvania Full time

    The Grants Compliance Monitor is a key staff position for the Office of Community Empowerment and Opportunity (CEO) responsible for monitoring CEOs subcontract agreements. CEO enters into contracts with community-based organizations and consultants Compliance, Grants, Contracts, Monitoring, Monitor, Evaluation, Business Services

  • Head Coach Women's Basketball/Event Management

    9 hours ago

    Philadelphia, United States Chestnut Hill College Full time

    Purpose: Chestnut Hill College is an NCAA Division II institution and a member of the Central Atlantic Collegiate Conference (CACC). The Head Coach position coordinates all aspects of the intercollegiate program including planning, programming, directing, and supervising. Under the direction of the Director of Athletics, additional duties will be assigned...

  • Senior Health and Safety Specialist

    1 week ago

    Philadelphia, United States Compliance Management International Full time

    Job DescriptionJob DescriptionCompliance Management International (CMI) is a premier global provider of environmental, health, and safety (EHS) services, serving clients of all sizes for over 25 years. We collaborate closely with organizations, including Fortune 500 companies and governments, to enhance performance by offering integrated support that...

  • Casino Compliance Representative 1, PGCB

    1 week ago

    Philadelphia, United States Commonwealth of Pennsylvania Full time

    THE POSITIONAre you looking for an exciting career opportunity in which you can exercise your technical skills and critical thinking abilities to create a safe and efficient environment for recreationalists? The Pennsylvania Gaming Control Board (PGCB) is looking for a dedicated and ambitious individual to join our team as a Casino Compliance Representative...

  • Grants Compliance Monitor

    3 weeks ago

    Philadelphia, Pennsylvania, United States City of Philadelphia Full time

    Job Description The Grants Compliance Monitor is a key staff position for the Office of Community Empowerment and Opportunity (CEO) responsible for monitoring CEO’s subcontract agreements. CEO enters into contracts with community-based organizations and consultants to carry out organizational goals to help low-income Philadelphians move toward...

  • Compliance Associate

    1 week ago

    Philadelphia, United States Atlantic Group Full time

    Location: Philadelphia (Hybrid)Compensation: $100k-$130k base + bonus ($20k-$30k)Job Overview:The Compliance Associate is responsible for supporting the Chief Compliance Officer (“CCO) in the execution of the day-to-day compliance functions relating to the investment advisory businesses. Responsibilities: • Monitor and test the Firm’s policies and...

  • Compliance Associate

    2 weeks ago

    Philadelphia, United States Atlantic Group Full time

    Location: Philadelphia (Hybrid)Compensation: $100k-$130k base + bonus ($20k-$30k)Job Overview:The Compliance Associate is responsible for supporting the Chief Compliance Officer (“CCO) in the execution of the day-to-day compliance functions relating to the investment advisory businesses. Responsibilities: • Monitor and test the Firm’s policies and...

  • Compliance Associate

    6 days ago

    Philadelphia, United States Atlantic Group Full time

    Location: Philadelphia (Hybrid)Compensation: $100k-$130k base + bonus ($20k-$30k)Job Overview:The Compliance Associate is responsible for supporting the Chief Compliance Officer (“CCO) in the execution of the day-to-day compliance functions relating to the investment advisory businesses. Responsibilities: • Monitor and test the Firm’s policies and...

  • Divisional Deputy City Solicitor, Public Safety Compliance Counsel

    2 weeks ago

    Philadelphia, United States City of Philadelphia Pennsylvania Full time

    The Divisional Deputy City Solicitor, Compliance Counsel for Public Safety provides direct advice to the Public Safety Departments of the City of Philadelphia, including the Managing Directors Office, the Public Safety Directors Office, the Departm Compliance, Public Safety, Deputy, Counsel, City, Diversity, Education

  • Squash Program Director/Varsity Head Coach

    1 month ago

    Philadelphia, Pennsylvania, United States SCH Academy Full time

    Position Purpose SCH Academy is seeking a Squash Program Director & Varsity Head Coach for the Upper and Middle Schools. Reporting to the Athletic Director, the Program Director will collaborate with all team stakeholders including the AD, Director of Auxiliary and Special Programs, school administrators, athletes, parents, faculty and other coaches. The...

  • Head of People Operations and Business Partnerships

    3 weeks ago

    Philadelphia, United States ParetoHealth Full time

    We're in this for the greater good at ParetoHealth. Our mission is collective greatness, nothing less will do. Our team is a single force united in the drive to transform employee health benefits. The company was founded in 2011 to help small and medium-sized businesses fight the rising cost of employee health benefits. We blazed the trail with financing...

  • IT Audit and Compliance Consultant

    4 hours ago

    Philadelphia, United States Motion Recruitment Full time

    Looking to elevate your expertise as an IT audit and compliance professional? A renowned IT auditing firm situated in PA eagerly seeks individuals focused in IT Audit to join their consulting team. This role emphasizes direct client interaction and offers an excellent opportunity to engage with diverse environments. They are working on a lot of interesting...