Director, Compliance Monitoring

1 month ago

mckinney, United States Globe Life Inc. Full time

Director, Compliance Monitoring (Hybrid)

Primary Duties & Responsibilities

At Globe Life, we are committed to empowering our employees with the support and opportunities they need to succeed at every stage of their career. Our thriving and dynamic community offers ample room for professional development, increased earning potential, and a secure work environment.

We take pride in fostering a caring and innovative culture that enables us to collectively grow and overcome challenges in a connected, collaborative, and mutually respectful environment that calls us to help Make Tomorrow Better.

Role Overview:

Could you be our next Compliance Monitoring Director? Globe Life is looking for a Compliance Monitoring Director to join the team

In this role, you will be responsible for establishing and leading the Compliance Monitoring team who will partner with Compliance architecture, management, and external experts to ensure Compliance controls are working effectively. This person will establish Compliance control monitoring plans and supervise controls testing to advise senior management on Compliance control failures and control monitoring requirements. This role is the functional leader and program manager for the Regulatory Compliance Monitoring Program and is responsible for the risk-weighted monitoring of internal controls to comply with US Federal, State DOI, and International legal frameworks which attach to the Company’s operations. This role requires extensive partnerships across the first, second and third-line functions and is a trusted advisor to senior and executive management. This role is responsible for short to mid-term planning, execution, and oversight of the Company’s Regulatory Compliance Monitoring framework.

This is a hybrid position located in McKinney, TX (WFH Monday & Friday, In Office Tuesday-Thursday).

 

What You Will Do:

  • Develop and oversee the monitoring program employed by business operations and second-line functions to provide assurance that compliance controls are functioning appropriately.
  • Operational leader and program owner of the Regulatory Compliance monitoring program.
  • Partner with other compliance leaders to ensure the monitoring program is designed to test compliance controls on a risk weighted basis.
  • Partner with management to ensure compliance control capabilities are adequately funded for risk-weighted testing.
  • Provide Compliance/second-line oversight, review, and challenge first-line testing activities to ensure that business operations testing effectively meets standards for coverage of compliance risks.
  • Advise, review, and challenge business leaders in the development of annual test plans with respect to coverage of compliance risks.
  • Assess the overall testing and monitoring plan of the Company and make recommendations for risk-weighted improvements.
  • Run quarterly metrics to actively measure and report on the results of controls testing and assessments, and report on findings at quarterly meetings.
  • Manage the Compliance monitoring program to ensure that controls are accurately documented and continuously monitored on a risk-weighted basis.
  • Liaise with other enterprise functions that conduct testing to ensure continuity and alignment.
  • Collaboratively develop and apply issues-management framework for testing identified issues.
  • Work with business units to facilitate a self-reporting process and independently analyze those observations.
  • Align ratings of identified compliance controls failures and gaps with the Company’s ERM framework.
  • Advise leadership regarding standard industry internal control monitoring practices.
  • Mature and sustain the monitoring program in alignment with DOJ expectations.
  • Partner with the Director of Compliance and Risk Training to foster a compliance-cognizant culture.
  • Periodically benchmark the monitoring program against the expected DOJ ‘Evaluation of Corporate Compliance Program’ criteria.
  • Train management on internal control self-assessments for compliance adherence monitoring.
  • Work with business leaders to detect mitigating controls to the core risks and define monitoring criteria for all identified controls.
  • Other duties as assigned.

What You Can Bring:

  • Bachelor’s degree required; post-graduate studies, a plus.
  • Regulatory and control knowledge of major US Federal and NAIC legal and regulatory frameworks like AML, anti-terrorist funding, SARS, anti-corruption, insurance product underwriting and claims processing regulations.
  • Knowledge of ISO Compliance Management Systems and how to apply the process within the insurance industry.
  • Experience with Risk and Control Self-Assessment and Internal Control Matrix.
  • 7+ years prior experience in the field of regulatory compliance.
  • 2+ years prior experience in conducting and modifying compliance monitoring programs.
  • A current certification in compliance, preferred.
  • Experience with MetricStream, or another GRC technology solution, is a plus.
  • Excellent communication and presentation skills (verbal, written, non-verbal)
  • Proficiency with GRC software, preferred.
  • Must be organized, detail-oriented and work efficiently.
  • Knowledge of insurance operations, finance, regulatory reporting, preferred.
  • Knowledge of US Federal regulations, NAIC Model Laws, State DOI regulations, and applicable international laws, preferred.
  • The aptitude to learn new areas and agility to adapt to the changing regulatory environment is required.
  • A client service mindset, strong analytical skills, and agile project management approaches are required.
  • Knowledge of techniques to use data-driven control monitoring and reporting is required.

Applicable To All Employees of Globe Life Family of Companies:

  • Reliable and predictable attendance of your assigned shift.
  • Ability to work full time and/or part time based on the position specifications.

How Globe Life Will Support You:

Looking to continue your career in an environment that values your contribution and invests in your growth? We've curated a benefits package that helps to ensure that you don’t just work, but thrive at Globe Life:

  • Competitive compensation designed to reflect your expertise and contribution.
  • Comprehensive health, dental, and vision insurance plans because we believe that taking care of your well-being is fundamental to your performance.
  • Robust life insurance benefits and retirement plans, including company-matched 401k and pension plan.
  • Wellness club reimbursements and gym discounts to help you stay on top of your health.
  • Paid holidays and time off to support a healthy work-life balance.
  • Development training programs to enhance your skills and career progression and unlock your full potential.

Opportunity awaits Invest in your professional legacy, realize your path, and see the direct impact you can make in a workplace that celebrates and harnesses your unique talents and perspectives to their fullest potential. At Globe Life, your voice matters.

INDGLA1001

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