Regulatory Analyst and Investigator, Life & Annuities

Integrity•Dallas, TX

About The Position

We are seeking a detail-oriented and proactive Regulatory Analyst and Investigator to support Integrity Life & Annuities. This role is responsible for analyzing and investigating consumer complaints, inquiries, and regulatory actions received from Departments of Insurance, Attorney General Offices, other state agencies, and consumers. The individual will research applicable regulatory requirements, prepare recommendations for resolution, and draft responses for review by Senior Legal Counsel, Life & Annuities. Additionally, this position will oversee compliance reviews of outbound communications—including marketing materials, sales literature, social media, and other promotional content—to ensure adherence to state and federal regulations. The role also includes leveraging internal AI tools for compliance monitoring and adapting schemas for evolving legislative and regulatory developments.

Requirements

Comprehensive understanding of state insurance regulations and related frameworks, including NAIC models, SEC/FINRA, FTC, TCPA, CAN-SPAM, and AI-related compliance requirements.
Ability to interpret and apply statutory requirements and regulatory guidance.
Strong analytical and problem-solving skills with attention to detail.
Excellent written and verbal communication skills; ability to convey complex information clearly.
Proficiency in Microsoft Office (Excel, Word, PowerPoint); advanced level preferred.
Advanced data analytics, reporting, and presentation skills.
Strong process orientation and familiarity with structured compliance management techniques.
Intellectual curiosity and ability to adapt to evolving regulatory landscapes.
Bachelor’s degree in Legal, Finance, Business (Insurance emphasis preferred), Communications, or related field.
Minimum of five years of experience in regulatory or compliance management within the insurance industry (regulator, carrier, or broker-dealer).

Responsibilities

Investigate consumer complaints, inquiries, and regulatory actions from state and federal authorities related to life and annuity products, marketing practices, or alleged misconduct.
Conduct interviews and gather statements from involved parties as needed.
Research and interpret applicable regulatory and legal requirements; prepare recommendations for resolution or response.
Review and approve outbound communications, including marketing materials, social media posts, recruitment pieces, and event promotions, ensuring compliance with state insurance regulations and federal requirements (SEC/FINRA, FTC, TCPA, CAN-SPAM, robo-dialer prohibitions).
Monitor and update internal policies and procedures for the Life & Annuities segment.
Track and analyze regulatory developments, including NAIC models, SEC/FINRA rules, FTC guidelines, TCPA enforcement, and emerging technologies impacting compliance.
Utilize internal AI tools for compliance reviews of websites, podcasts, and videos; train and create schemas for new regulatory requirements.
Maintain accurate records to demonstrate compliance during audits, inquiries, and enforcement actions.
Serve as liaison with business units and management to provide timely updates on complaints, investigations, and regulatory matters.
Manage legal and compliance-related projects and ensure timely execution of deliverables.