Compliance Analyst

1 week ago

Des Moines, United States Venerable Full time

This role based in our Des Moines, Iowa office will work with our insurance company Venerable Insurance and Annuity Company and our broker dealer, Directed Services LLC.

Venerable's compliance team's mission is to maintain an effective compliance program that meets key legal and regulatory requirements and mitigates risk. We support this mission by providing employees with policies, information, and tools to help them do their part to maintain Venerable's reputation of integrity and culture of compliance.

This compliance analyst position will help us support the business by facilitating the process of identifying, mitigating, monitoring, and managing compliance / regulatory risks through project support and responding to direct inquiries. This position will also be responsible for identifying and raising compliance risks to compliance leadership and will partner with compliance leadership and impacted business teams to address any identified gaps. Critical for this position is the ability to build and maintain effective relationships with internal parties to arrive at collaborative solutions.

The ideal candidate is someone that is a results-oriented individual with a proven track record of taking ownership to complete projects / tasks on time and according to agreed upon project expectations with the ability to direct, manage, and message changes throughout the project / assignment lifespan.

We are currently working in a Hybrid Work Model - working in the office each Tuesday and Wednesday, with the option to work remotely the remaining three business days.

Core Job Responsibilities:

  • Provide oversight of surveillance reports to ensure actionable items are addressed.
  • Review electronic communications to detect violations of Broker-Dealer and/or Company policies.
  • Participates and coordinates the regulatory review process (new state and federal legislation), communicates new regulatory items through CODE platform to the business teams and monitors to ensure that business teams address regulatory changes in a timely manner.
  • Complete procedure reviews accurately and in a timely manner.
  • Review recorded calls and processed transactions to ensure procedures are followed and detect any areas of concern.
  • Prepare thorough report and/or responses in a timely manner.
  • Assist in responding to inquiries from internal business partners and Compliance leadership.
  • Research and respond to customer complaints and agent investigations.
  • Monitor and investigate account activity for potential fraud and suspicious activity.
  • Respond to and address inquiries from internal business partners to assure compliance with the applicable laws, regulations and firm policy and procedures.
  • Identify and maintain risk areas for annual compliance training and compliance communications.
  • Monitor and test firm policies and procedures based on risk levels and regulatory priorities.
  • Provide professional, timely and appropriate guidance to the business as the Compliance subject matter expert on assigned projects and provide timely updates to Compliance leadership.
  • Continue to gain industry and product knowledge by attending conferences and webinars.
Knowledge, Skills, Abilities:
  • Must have 1-2 years of experience in Compliance and/or Life/Annuity Insurance industry experience
  • Must be proficient in PowerPoint and Excel
  • Must have strong analytical and research skills.
  • Excellent verbal and written communication skills with the ability to influence across the department and organization.
  • Strong time management skills and ability to meet deadlines while managing competing priorities.
  • Some knowledge of financial services products such as but not limited to Fixed Annuities, Variable Annuities and life insurance.
  • Ability to learn information and concepts quickly and work independently.
  • Series 6, 63, and be willing to obtain Series 26.
  • Must possess a strong commitment to integrity and ownership mindset.


#LI-SC1

Venerable Values:

Every position at Venerable has responsibility for living out the company's values as described here:

We are Courageous - We think critically, ask "why?" and seek out creative solutions.

We are Curious - We take calculated risks, learn from out failures, and challenge traditional ways of thinking.

We are Connected - We are connected to each other, our customers and our community.

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