Sr Associate, Compliance Spclst- Suitability

2 weeks ago

Owings Mills, United States Baltimore Insurance Ltd. Full time

JOB TITLE: Sr. Associate, Compliance Specialist - Suitability

DEPARTMENT: Legal and Compliance

REPORTS TO: Manager, Legal and Compliance

FLSA STATUS: Exempt

SUMMARY:

Provide compliance support, particularly annuity suitability reviews and analysis, statutory reporting, audits and other regulatory compliance work.

RESPONSIBILITIES:

* Use of sound and consistent judgment to perform annuity suitability reviews with thorough analysis of information presented and accurate application of state laws, company policies and procedures for annuity sales* Utilize FAST and other company computerized systems to correctly track, document, and troubleshoot annuity suitability reviews* Assist in resolution of suitability issues that may arise* Identify suspicious suitability trends, patterns or practices identified during suitability reviews and taking appropriate action to impact behavior, including escalation with explanation of findings and recommendations for addressing issues identified* Keep abreast of laws and regulations for annuity sales and changes to them as well as company processes and procedures for annuity products* Participate in cross training support as needed* Respond in a timely manner to suitability and other compliance related inquiries with appropriate discretion for information disclosed based on the audience* Perform any other compliance duties as requested

EDUCATION and EXPERIENCE:

* BA or BS preferred or equivalent relevant work experience and training* Minimum 3-5 years annuity suitability reviews and analysis experience* Minimum 3-5years regulatory compliance experience with in-depth knowledge of fixed annuity and life insurance products

SKILLS AND KNOWLEDGE:

* Understanding of industry regulations, the regulatory environment for fixed annuity and life insurance sales, insurer supervision systems for annuity sales, financial services products, and concepts for managing wealth* Ability to interact with all levels of Company associates and business units as well as state regulators and external business partners, including producers, insurance agencies, third party administrators, service providers and others* Resourceful and able to find information that is not readily available from a single source* Excellent analytical and problem-solving skills, including the ability to disaggregate issues, determine root causes, and recommend solutions* Ability to multitask efficiently and manage priorities and time to complete tasks* Ability to collect, organize and interpret large amounts of data* Ability and willingness to address concerns or challenging questions when they arise* Intermediate level proficiency in use of MS Office, Adobe Acrobat and Microsoft Teams* Ability to maintain the strictest of confidence regarding Company information, dealings and other sensitive information* Must exhibit a professional demeanor and maintain a high level of integrity

COMPETENCIES:

Drive - Displays motivation, is proactive and resourceful in daily work. Persists to complete responsibilities, even in the face of difficulties, is optimistic and tenacious throughout.

Collaboration - Able to actively listen to others and build relationships and trust, effectively handle conflict and interact with tact and respect. Articulates ideas and concerns so others are able to understand and is sensitive to others and is able to adapt to different types of individuals.

Able to cooperate and collaborate with colleagues to achieve shared goals and encourages others and seeks out opportunities to collaborate across the business.

Adaptable - Willingly adapts to constantly changing circumstances while maintaining perspective. Engaging in continuous learning, adjusting the application of knowledge, skills and abilities while addressing new challenges. Accepts constructive feedback.

Responsible - Follows through on commitments; clearly defines mutual expectations of selves & others. Responds to demands of job by accepting responsibility for assignments, shows initiative and takes timely and appropriate actions to meet needs.

Execution - Thinks critically and has the best interests of the company, colleagues, and customers in mind when approaching situations. Anticipates obstacles and assesses situation to determine best possible solution. Demonstrates an ability to get essential information and exercises sound judgments about alternatives. Knows both technical and practical aspects of the job and continually updates skills and knowledge. #J-18808-Ljbffr

  • Sr Associate, Compliance Spclst- Suitability

    3 weeks ago

    Owings Mills, United States Baltimore Insurance Ltd. Full time

    JOB TITLE: Sr. Associate, Compliance Specialist - Suitability DEPARTMENT: Legal and Compliance REPORTS TO: Manager, Legal and Compliance FLSA STATUS: Exempt SUMMARY: Provide compliance support, particularly annuity suitability reviews and analysis, statutory reporting, audits and other regulatory compliance work. RESPONSIBILITIES: * Use of sound and...

  • Audit Associate

    2 days ago

    Owings Mills, United States Hire Resolve USA Full time

    Hire Resolve is currently seeking a dedicated and detail-oriented Audit Associate to join our client's team in a fast-paced environment. As an Audit Associate, you will be responsible for assisting with financial audits, ensuring compliance with accounting standards, and providing valuable insights to clients. You will work closely with a team of...

  • Sr HR Consultant

    2 days ago

    Owings Mills, United States T. Rowe Price Full time

    There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premierassetmanagerfocused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with...

  • Sr Product Owner

    5 days ago

    Owings Mills, United States T. Rowe Price Full time

    Sr Product Owner - Self-Service | Individual Investors, Client Experience page is loaded Sr Product Owner - Self-Service | Individual Investors, Client Experience Apply locations Owings Mills, MD time type Full time posted on Posted 4 Days Ago job requisition id 71531 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a...

  • Sr Associate, Actuarial Specialist

    1 week ago

    Owings Mills, United States The Baltimore Life Insu Full time

    The Sr. Associate, Actuarial Specialist will handle the Company's Cash Flow Testing and experience study processes. They will aid in the completion of the quarterly and annual valuation reporting. RESPONSIBILITIES: Cash Flow Testing and Modeling Responsibilities:Aid in the augmentation of the Company's asset and liability models to improve the reinsurance...

  • Sr Associate, Actuarial Specialist

    2 weeks ago

    Owings Mills, Maryland, United States The Baltimore Life Insu Full time

    The Sr. Associate, Actuarial Specialist will handle the Company's Cash Flow Testing and experience study processes. They will aid in the completion of the quarterly and annual valuation reporting. RESPONSIBILITIES: Cash Flow Testing and Modeling Responsibilities:Aid in the augmentation of the Company's asset and liability models to improve the reinsurance...

  • Sr Product Owner

    4 days ago

    Owings Mills, United States T. Rowe Price Full time

    Sr Product Owner - Self-Service | Individual Investors, Client Experience page is loaded Sr Product Owner - Self-Service | Individual Investors, Client Experience Apply locations Owings Mills, MD time type Full time posted on Posted 4 Days Ago job requisition id 71531 There is a place for you at T. Rowe Price to grow, contribute, learn, and make a...

  • Sr Power BI Developer

    4 days ago

    Owings Mills, United States Compass Pointe Consulting Full time

    This is a remote position. JOB TITLE: Sr Power BI Developer LOCATION: Remote (Only considering candidates in states close to Maryland at this time (Maryland, Virginina, Delaware, Pennsylvania, New Jersey)). DESCRIPTION: Compass Pointe has partnered with a global financial company in the Owings Mills, MD area that is looking for a Sr Power BI Developer to...

  • Compliance Specialist

    5 days ago

    Owings Mills, United States Lewis Contractors Full time

    Are you a detail-oriented professional with a passion for ensuring compliance with construction regulations and industry standards? Do you thrive on navigating the complexities of legal requirements and guiding teams towards regulatory excellence? If you're seeking a rewarding role that allows you to be at the forefront of construction compliance, we invite...

  • System Engineer, SR IV

    7 days ago

    Owings Mills, United States Avid Technology Professionals Full time

    Provide identification and fixing of problems within existing systems, design, and implementation of new systems and enhancement of existing systems. Participates in analysis, design, and new construction of next generation IT systems. Responsible for understanding the needs of the customers and the realities of commercially available IT products and...

  • Sr Manager, Tax

    4 days ago

    Owings Mills, United States T. Rowe Price Full time

    There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. We are a premierassetmanagerfocused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with...

  • Sr Analyst, Fixed Income

    4 days ago

    Owings Mills, United States T. Rowe Price Full time

    There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference.We are a premierassetmanagerfocused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your career with...

  • Service Desk Associate

    5 days ago

    Owings Mills, United States WEIS LLC Full time

    Overview Looking for a company that treats associates with respect, understanding, and appreciation? Looking for a company that is passionate about teamwork and the growth of it's associates and communities? That's WEIS! Job Description: ESSENTIAL DUTIES AND RESPONSIBILITIES The Service Desk Associate is responsible for the functions below, in addition to...

  • Sr. Associate, Payroll and Tax Specialist

    13 hours ago

    Owings Mills, United States Baltimore Insurance Ltd. Full time

    SUMMARY: Individual will process payroll, prepare tax reporting, filing and payment responsibilities; prepare and provide budget information for compensation related accounts. ESSENTIAL DUTIES AND RESPONSIBILITIES: * Process the bi-weekly Home Office and Field payrolls * Process the monthly Pension payroll * Prepare and pay the weekly/monthly/quarterly...

  • Traveling Associate Dentist

    5 days ago

    Owings Mills, United States Porter Dental & Braces - a Benevis company Careers Full time

    Overview: Work for a company that is truly making the world a happier place, one smile at a time! At Benevis, we create over a million smiles a year in the communities we serve and believe that every person deserves access to quality, affordable dental care. This mission drives everything we do! With over 3000 employees in offices across the country from...

  • Senior Marketing Project Manager

    2 days ago

    Owings Mills, United States Saxon Global Full time

    Title of Position : SR PM Reason for Opening/how long : backfill # of Openings : 1 Length (Right to Hire?): 6m CTH Start Date (When/why/ ): ASAP Location/remote flex : Baltimore.. but maybe on remote Is position approved (Y/N ): Yes Clearance(if gov)? / H1B?: Yes Team size: ECO - team is alongside Billie till ramped up, on lead management, they have a change...

  • Senior Marketing Project Manager

    1 hour ago

    Owings Mills, United States Saxon Global Full time

    Title of Position : SR PM Reason for Opening/how long : backfill # of Openings : 1 Length (Right to Hire?): 6m CTH Start Date (When/why/ ): ASAP Location/remote flex : Baltimore.. but maybe on remote Is position approved (Y/N ): Yes Clearance(if gov)? / H1B?: Yes Team size: ECO - team is alongside Billie till ramped up, on lead management, they have a change...

  • Senior Marketing Project Manager

    4 days ago

    Owings Mills, United States Saxon Global Full time

    Title of Position: SR PM Reason for Opening/how long: backfill # of Openings: 1 Length (Right to Hire?): 6m CTHStart Date (When/why/): ASAP Location/remote flex: Baltimore.. but maybe on remote Is position approved (Y/N): Yes Clearance(if gov)? / H1B?: YesTeam size: ECO - team is alongside Billie till ramped up, on lead management, they have a change...

  • Sr Mobile/Android Developer

    5 days ago

    Owings Mills, United States T. Rowe Price Full time

    There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your...

  • Sr Mobile/Android Developer

    5 days ago

    Owings Mills, United States T. Rowe Price Full time

    There is a place for you at T. Rowe Price to grow, contribute, learn, and make a difference. ​ We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today and in the future. The work we do matters. We invite you to explore the opportunity to join us and grow your...