Posted in General Business 30+ days ago.
This job brought to you by eQuest
Location: Seattle, Washington
Assurance IQ is seeking a Vice President, Compliance to join our growing compliance team. Assurance is dedicated to helping connect consumers with financial solutions, including life, health, and personal finance. Sales of our products include employee agents, independent agents, and relationships with third party distributors. This role will primarily be responsible for leading the development and enhancements to compliance policies and procedures (including marketing material guidance, call monitoring and agent oversight standards), associated training and testing, day to day consultation for management on regulatory requirements, and oversight of sales practices and positioning of assigned product lines, which may include Medicare Advantage, health, life, auto & home, and personal finance.
To accomplish these responsibilities in a growing company, this role will be expected to develop a scalable, risk based compliance program in assigned areas by leveraging technology and data analytics; process discipline; external consultants and resources; an enterprise approach (including people, process, and systems at Prudential); and prioritization and rigor.
Additional responsibilities may be assigned.
Strong knowledge and experience with insurance and/or CMS regulatory requirements required
8+ years in a senior level position managing compliance or related areas in financial services distribution
Demonstrable results in improving operational efficiency/effectiveness through process improvements, technology deployment and other mechanisms
Experience working and collaborating across organizational boundaries
Excellent communication skills
Bachelors degree required
As a member of the Compliance team, a successful candidate must:
Understand the importance and value of collaboration to achieve objectives
Develop strong and productive working relationships
Be motivated to deliver on results and meet commitments
Effectively set objectives and balance competing priorities
Be organized and disciplined
Demonstrate openness to new ideas and seek opportunities to learn
Maintain professional skepticism in assessing appropriateness, objectivity and independence
Understand key business risks, marketplace and regulatory environment
Establish themselves as credible voice at the table
Lead organizational transformation in areas of effectiveness and improvement
Think beyond a problem on its face
Be comfortable with ambiguity and has the dexterity to adjust as needed
Understand the complexities and nuances of a global environment
Seek to understand customer’s needs and challenges
Collaborate in a fully inclusive and open manner
Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom.
Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.
We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.
Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status , medical condition or any other characteristic protected by law.
The Prudential Insurance Company of America, Newark, NJ and its affiliates.
Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at firstname.lastname@example.org for more information about doing business with Prudential.
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