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Corporate Compliance Officer

2 months ago

Dallas, Texas, United States Frontline Source Group Full time
Job Description

Senior Vice President of Compliance

Job Summary:

We are seeking a highly experienced Senior Vice President of Compliance to join our team at Frontline Source Group. As a key member of our organization, you will be responsible for leading our compliance team and ensuring that our company operates in accordance with all relevant regulations and standards.

Key Responsibilities:

  • Lead and manage the compliance team, serving as the company's primary compliance officer.
  • Oversee and ensure timely submission of company filings and policy forms in accordance with state insurance regulations.
  • Apply expertise in interstate compact regulations, SERFF, and UCAA systems to maintain regulatory compliance.
  • Supervise compliance at our third-party administrators (TPAs), ensuring alignment with state insurance regulations.
  • Create, distribute, and file necessary documentation with Departments of Insurance (DOIs) as required.
  • Monitor and implement changes in regulatory requirements, ensuring company operations adapt accordingly.
  • Review and approve advertising to ensure compliance with state and federal guidelines.
  • Address and manage complaints and litigation, including those from the Department of Insurance, serving as the corporate contact for such matters.
  • Maintain and oversee the complaint log, acting as the liaison between state insurance examiners and the company.
  • Respond to requests and review draft and final reports, ensuring resolution of operational deficiencies.
  • Manage the creation and timely completion of all required UCAA corporate filings related to insurance operations.
  • Provide expertise in reviewing life insurance contestable claims, focusing on misrepresentation, fraud, and other critical factors.

Requirements:

  • Preferred Juris Doctorate (JD). Alternatively, a degree in Business Administration or Operations.
  • At least 10 years of experience in legal and regulatory compliance within the individual life, health, and annuity markets.
  • Relevant insurance industry certifications (e.g., LOMA, NASD Series 6, 26, and 63) and Broker-Dealer experience.
  • Proven experience with UCAA and SERFF systems is essential.
  • Demonstrated expertise in one or more of the following areas: individual life, health, and annuity markets.
  • Experience in staff management and handling consumer complaints.
  • Strong track record in communication with state departments of insurance.

Benefits:

  • Bonus
  • Relocation Package and Housing Support
  • Medical, Dental, Vision Insurance
  • Basic and Voluntary Life and AD&D Insurance
  • Long Term Disability Insurance
  • Discount Card Benefits Program
  • Flexible Spending Accounts – Medical & Dependent Care
  • 401(k) Plan