Venerable is seeking a highly motivated Associate Compliance Analyst with strong communication skills to join our Compliance team. This role will be based in our Des Moines, Iowa office.
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. As an Associate Compliance Analyst, you will be assisting with complaint handling, agent investigations, subpoena production, and handling compliance related inquiries from our business partners.
The ideal candidate is someone with an insurance background who is result oriented, can review and research potential issues, can collaborate with internal parties, and has strong verbal and written communication skills.
Principle Responsibilities:
Involved in most of the following activities to ensure compliance with laws and regulations:
- Correspond and/or contribute to efforts to engage with internal departments regarding procedures, standards, processes and requirements
- Assist in Compliance and/or business-related projects in research and/or other support functions
- Assist in compiling, organizing, and analyzing data for internal or external compliance reports, complaints, investigations, subpoenas and/or other inquiries (including departmental, legal, and/or regulatory inquiries or exams)
- Participate and help coordinate 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.
- Assist with the review, maintenance and tracking of policy updates and procedures
- Assist in participating or documenting in any risk monitoring, exams, audits (internal or external)
- Assist in compiling, formatting or recording metrics and reporting
- Assist with peer review and/or research or data gathering for other compliance personnel or business partners
- Other duties and projects as assigned
Knowledge, Skills and Abilities:
- Bachelor’s degree or equivalent work experience
- Up to 1 year of experience in Compliance or related/relevant industry
- Must have strong analytical and research skills
- Excellent verbal and written communication skills
- 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
- Thoroughness/Attention to detail
- Ability to obtain FINRA SIE and Series 6, within six months of hire, and be willing to obtain Series 26
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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.
