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Compliance Manager
Category
Ethics & Compliance
Tracking Code 1729 – 160
Job Description
Position Overview
The Compliance Manager assists the Associate Chief Compliance Officer (ACCO) in the design, development and implementation of our ethics and compliance program (Program), focusing on the insurance company and its insurance affiliates. The purpose of our Program is to comply with laws and regulations, as well as our internal policies and procedures designed to prevent, detect, and correct any violation of laws, regulations, or policies.
Principal Responsibilities
- Supports the ACCO in the design, development, implementation and monitoring of the Program
- Works collaboratively with business areas to ensure compliance with applicable laws and regulations
- Utilizes risk management techniques and business area knowledge to create, maintain, and test relevant policies and procedures
- Acts as a liaison with regulators and impacted business areas by preparing for meetings, coordinating the production of documents and responses in connection with examinations or other regulatory inquiries
- Manages required state filings including annual Market Conduct Annual Surveys and responds to informational requests/inquiries
- Works with internal business areas to collect and analyze data and manage timely reporting
- Performs and/or facilitate risk assessments in accordance with the company’s risk assessment process to identify deficiencies and testing needs
- Presents key findings, and demonstrates initiative and creativity in independently recommending and implementing solutions to business leaders and the ACCO
- Tracks the remediation of findings to ensure that they are appropriately remediated
- Participates in developing and delivering training and education to the business, including presentations at department meetings
- Manages staff, provides guidance, education and motivation as necessary to develop team
- Maintains a broad working knowledge and awareness of the industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting \
- Complies with all company and site policies and procedures
- Successfully completes regulatory and job training requirements
- Participates in special projects and performs other duties as assigned
Required Skills
- Passion for leadership and strong developer of people
- Ability to create, document and monitor processes
- Excellent prioritization and time management skills
- Excellent written and communication skills
- Excellent analytical and problem solving skills
- Dedicated attention to detail, consistency, and thoroughness
- Manage various assignments and efforts simultaneously
- Ability to build effective business relationships, at all levels
- Ability to make a positive contribution as demonstrated by learning new skills and making suggestions for process/procedure improvement
Ability to work with others in a collaborative team environment
Required Experience
Experience
- 5-10 years of life insurance compliance or regulatory experience
- Experience with project management
- Experience in dealing with government enforcement agencies on behalf of corporate entities
Education/Licenses/Professional Designations
- Bachelor’s degree in Business, Finance, Accounting, or other related field required
- Interest and motivation in pursuing professional designations or registrations (ex: CFE, FINRA Series 7,66,24)
Level = 22
All Penn Mutual employees exemplify our Shared Commitment:
Doing what’s right today, together, for the promise of a brighter tomorrow. The feelings are mutual: Care. Respect. Belonging.
Penn Mutual is committed to Equal Employment Opportunity (EEO). We provide employment and advancement opportunities to all qualified applicants and associates, according to applicable laws. This is reflected in our practices for hiring, placement, promotion, transfer, demotion, layoff, termination, recruitment, compensation, selection or training, and all other terms and conditions of employment. All employment-related decisions and practices are free from unlawful discrimination. This includes: race, creed, color, national origin, ancestry, citizenship, age, gender (including pregnancy), sexual orientation, gender identity or expression, domestic partnership or civil union status, marital status, genetic information, disability, religious observance or practice, liability, veteran status or any other classification protected under applicable law. Leaders may, at their discretion, change the responsibilities in this position description at any time due to reasonable accommodation and/or other business reasons.
About the Penn Mutual Life Insurance Company
Penn Mutual helps people become stronger. Our expertly crafted life insurance is vital to long-term financial health and strengthens people’s ability to enjoy every day. Working with our trusted network of financial professionals, we take the long view, building customized solutions for iniduals, their families, and their businesses. We support our financial professionals with retirement and investment services through our wholly owned subsidiary, Hornor, Townsend & Kent, LLC, member FINRA/SIPC.
Job Location
Flexible = Employee has option to elect to be fully remote, hybrid or onsite at campus location
Position Type
Full-Time/Regular