Regulatory Analyst, Life & Annuities

Integrity; Dallas (TX); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive salary

Benefits package

Supportive work environment

Job summary

A leading insurance distribution company in Dallas is looking for a Regulatory Analyst to manage consumer complaints and inquiries. The role involves analyzing regulatory actions, ensuring compliance with insurance regulations, and reviewing marketing materials. The ideal candidate will have at least five years of regulatory experience and a strong understanding of state insurance laws. This position offers a full-time opportunity with a competitive compensation package in a supportive work environment.

Qualifications

• 5+ years of experience in regulatory/compliance management.
• Understanding of NAIC Models, SEC/FINRA regulations.
• Experience in managing consumer complaints and regulatory actions.

Responsibilities

• Analyze and investigate consumer complaints and inquiries.
• Review and approve various outbound communication materials.
• Maintain records for audit and compliance purposes.

Skills

Comprehensive understanding of state insurance requirements

High proficiency in MS Office applications

Advanced data analytics and reporting skills

Strong process orientation

Intellectual curiosity and analytical approach

Excellent written and oral communication skills

Education

Bachelor's degree in Finance or related field

Tools

MS Office (Excel, Word, PowerPoint)

Job description

Regulatory Analyst, Life & Annuities

Join to apply for the Regulatory Analyst, Life & Annuities role at Integrity

About The Role

This role is responsible for analyzing and investigating consumer complaints, inquiries, and regulatory actions received directly from Departments of Insurance, Attorney General Offices, other state government offices/departments and consumers for the life and annuities segment. In the role, the individual will take statements from parties involved as necessary, research applicable regulatory/legal requirements and write up a recommendation for resolution or response to the appropriate authority for review by Senior Counsel, Life & Annuities. This role will also be responsible for reviewing, approving, and monitoring the use of various outbound communication channels, including marketing materials, sales literature, social media posts, and other promotional content, to ensure adherence with applicable state and federal regulatory requirements and guidelines.

Primary Responsibilities

• Analyze and investigate consumer complaints, inquiries and regulatory actions received directly from Departments of Insurance (DOI), Attorney General Offices, or other state government offices/departments or federal agencies involving a life segment business unit, a life or annuity product, a marketing practice, or any allegation of wrongdoing involving the aforementioned.
• Stay up-to-date with changes in insurance regulations; NAIC Models; SEC/FINRA rules, regulations, and announcements; FTC rules; TCPA developments including enforcement and litigation; CAN SPAM Act; and robo-dialers requirements/prohibitions to ensure internal materials remain up to date.
• Review and approve outbound communications for the life segment: review and approve outbound communications materials including traditional sales and marketing materials, leads materials, social media, recruitment pieces, mass email generation, agent or consumer event marketing materials to ensure compliance with state insurance regulations and various regulatory requirements, including those from SEC/FINRA, CMS, FTC, Leads, TCPA, CAN SPAM, and robo-dialers requirements/prohibitions; exercise independent judgement when reviewing and approving communication materials.
• Maintain accurate and detailed records to demonstrate compliance during audits, regulatory inquiries, enforcement actions etc.
• Liaise with business units and management to provide current and accurate information regarding customer complaints regulatory matters, DOI inquiries, DOI investigations and DOI enforcement actions for the life segment.
• Manage and oversee the primary responsibilities.

Required Competencies

• Comprehensive understanding of state insurance requirements and relevant regulations, including NAIC Models, SEC/FINRA, FTC, Leads, TCPA, CAN SPAM; state and federal rules and regulations regarding artificial intelligence; and robo-dialers requirements/prohibitions.
• High proficiency in MS Office applications (Excel, Word, PowerPoint) – advance level preferred.
• Advanced data analytics, reporting and presentation skills.
• Strong process orientation; knowledge of systematic and structured compliance management techniques.
• Intellectual curiosity and analytical approach to work; advanced thinking and problem-solving.
• Excellent written and oral communication skills.

Education And Experience

• Bachelor's degree in Finance, Business (Insurance emphasis preferred); Communications, or related field.
• At least five years of experience in regulatory/compliance management within the insurance industry (regulator, carrier or broker-dealer).

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity you can start a new career path at a company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance and Sales

Industries

Insurance