Senior Compliance Analyst

Pacific Life • Newport Beach, CA

14d

About The Position

Providing for loved ones, planning rewarding retirements, saving enough for whatever lies ahead – our policyholders count on us to be there when it matters most. It’s a big ask, but it’s one that we have the power to deliver when we work together. We collaborate and innovate – pushing one another to transform not just Pacific Life, but the entire industry for the better. Why? Because it’s the right thing to do. Pacific Life is more than a job, it’s a career with purpose. It’s a career where you have the support, balance, and resources to make a positive impact on the future – including your own. We’re actively seeking a talented Senior Compliance Analyst to join our Distribution & Marketing Compliance Team in Newport Beach, CA. As a Senior Compliance Analyst you’ll move Pacific Life, and your career, forward by supporting the Consumer Markets Division (CMD) business unit in reviewing and approving marketing and sales material, providing regulatory consultation, and providing solutions to help meet the business needs and regulatory requirements. You will fill an existing role that sits on a team of eight people in the Office of the General Counsel division. How you’ll help move us forward: Provide compliance support to a business unit, or multiple related units, reviewing business operating practices, and administrative procedures and internal controls to determine if they are within company standards and regulatory requirements. Review and analyze sales and marketing materials, completes appropriate filings, and coordinates regulator audits and litigation requests. Help find ways to support the business unit to rethink how to innovate content creating process and develop content that are appealing to consumers as well as meeting regulatory expectations. Assist in the unit's compliance training initiatives including designing, developing, maintaining, implementing, and coordinating, training and communications related to compliance policies and procedures covering employees and third parties including producers, suppliers, vendors, and end clients. Leverage automation technology to improve efficiency, accuracy, and develop new functionality for Distribution & Marketing Compliance initiatives and responsibilities. Find opportunities to coordinate compliance activities with other areas to promote learning and sharing of best practices and ideas.

Requirements

• 4-year degree
• 5 years experience in compliance field.
• Excellent written and verbal communication, along with a professional and collaborative demeanor.
• Leadership abilities, including interpersonal savvy, courage, decision quality, driving engagement and resourcefulness.
• Proficient computer skills, including Microsoft Office products, SharePoint, MS Teams.
• Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
• Use best practices and knowledge of internal or external business issues to improve products or services.
• Ability to solve complex problems and develop new perspectives using existing solutions.
• Comfortable working both independently with minimal supervision and open to collaborating with team and other Office of the General Counsel teams when necessary.

Nice To Haves

• Series 6 and 26 FINRA licenses (will be required for the role).
• Strong knowledge of state regulatory requirements pertaining to sales and marketing.
• 5+ years Life Insurance and/or annuity related and/or compliance experience preferred.
• In-depth knowledge and experience tied to financial services and insurance industries.

Responsibilities

• Provide compliance support to a business unit, or multiple related units, reviewing business operating practices, and administrative procedures and internal controls to determine if they are within company standards and regulatory requirements.
• Review and analyze sales and marketing materials, completes appropriate filings, and coordinates regulator audits and litigation requests.
• Help find ways to support the business unit to rethink how to innovate content creating process and develop content that are appealing to consumers as well as meeting regulatory expectations.
• Assist in the unit's compliance training initiatives including designing, developing, maintaining, implementing, and coordinating, training and communications related to compliance policies and procedures covering employees and third parties including producers, suppliers, vendors, and end clients.
• Leverage automation technology to improve efficiency, accuracy, and develop new functionality for Distribution & Marketing Compliance initiatives and responsibilities.
• Find opportunities to coordinate compliance activities with other areas to promote learning and sharing of best practices and ideas.

Benefits

• Prioritization of your health and well-being including Medical, Dental, Vision, and Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents
• Generous paid time off options including: Paid Time Off, Holiday Schedules, and Financial Planning Time Off
• Paid Parental Leave as well as an Adoption Assistance Program
• Competitive 401k savings plan with company match and an additional contribution regardless of participation

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees