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COMPLIANCE ANALYST at Bayview Asset Management

COMPLIANCE ANALYST

Bayview Asset Management Phoenix, AZ Full-Time
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POSITION SUMMARY: 

The Compliance Analyst plays a crucial role by assisting the Chief Compliance Officer and the Compliance and Operational teams in developing and implementing critical control functions.  This role will have front line responsibility for evaluating annuity contract suitability, monitoring various agent sales practices, and assisting in anti-fraud and anti-money laundering detection and prevention.  This is an opportunity to have a direct impact on the strategic direction of the organization while gaining insight into the operational details of Oceanview.  This job should provide virtually daily exposure to the CCO, COO and other members of senior management.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Responsible for reviewing annuity applications for suitability, applying state specific regulations and company practices as needed.

• Assist in drafting and revising compliance-related policies and procedures.

• Participate in ensuring the Company’s third party administrators are performing their tasks in a compliant way.

• Conduct marketing material and advertisement compliance reviews and help maintain the Company’s marketing material review system application.

• Monitor compliance-related state and federally mandated regulations, ensuring that the Company’s policies, procedures and practices are in compliance with those regulations.

• Assist the Chief Compliance Officer with responding to governmental inquiries including consumer complaints.

• Provide reports and updates to management on all responsibilities as required by the CCO, COO, senior management or regulation.  

• Partner with the CCO, COO and other management in any other compliance or operational project as needed.

SKILLS/KNOWLEDGE/ABILITIES:

• Passion to help strengthen the Compliance and Operations teams.

• Strong business acumen especially in the annuity business

• Ability to work with remotely located partners and coworkers

• Strong knowledge of MS Word, Excel, PowerPoint and Adobe Pro

• Confident, comfortable communicator with strong written and verbal communication skills

• Demonstrated ability to consistently set stretch goals and hit targets

• Ability to analyze complex information and reach reasonable conclusions

• Assess and manage risk quickly and efficiently

• Think independently and strategically

• Ability to interact independently with all levels of company management.

• Ability to maintain confidentiality.

EDUCATION AND EXPERIENCE:

• High school diploma required.  Bachelor’s degree preferred.  

• 3-5 years of relevant experience in compliance or operational departments of an annuity or life insurance carrier, or similar experience in a large insurance distribution firm.

CERTIFICATIONS, LICENSES AND/OR REGISTRATION:

• None required

PHYSICAL DEMANDS AND WORK ENVIRONMENT 

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit and use hands to handle, touch or feel objects, tools, or controls.  The employee frequently is required to talk and hear.  The noise level in the work environment is usually moderate.  The employee is occasionally required to stand; walk; reach with hands and arms.  The employee is rarely required to stoop, kneel, crouch, or crawl.  The employee must regularly lift and/or move up to 10 pounds.  Specific vision abilities required by this job include close vision, color vision, and the ability to adjust focus.

EEOC 

Oceanview Life and Annuity Company is an Equal Employment Opportunity employer.  All aspects of consideration for employment and employment with the Company are governed on the basis of merit, competence and qualifications without regard to race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, or any other category protected by federal, state, or local law.

 

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Job ID: COMPL02029

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