Western & Southern Financial Group

Senior Compliance Specialist - Gerber Life Insurance

Compliance & Legal
Full Time


Summary of Responsibilities:


Provide Compliance support for insurance sales and product development. As directed by Compliance Director, work with internal and external business partners on legal, compliance and related matters.


Position Responsibilities:


Policy Filings:

  • Prepare and review new policy forms, ensuring adherence to legal and regulatory requirements
  • Manage form and rate filing process with states and the Interstate Compact, including preparing responses to objections based on independent review and analysis
  • Support the product development team in the review of products, including assisting with drafting and confirming compliance requirements
  • Maintain and update Company Disclosure Matrix to ensure product disclosures are provided, as needed

Compliance Training:

  • Responsible developing and rolling-out compliance training
  • Lead efforts and work with internal subject matter experts to review and revise compliance training in accordance with required regulations and company guidelines
  • Work closely with Training and Organizational Development to ensure that required compliance training is completed

Procedure Manuals / Development and Maintenance:

  • Draft and maintain Standard Operating Procedures (SOPs), manuals and other written guidance for internal associates and external business partners to support compliance management responsibilities.

Legal Research:

  • In consultation with Legal, research and analyze laws and regulations to provide written guidance to appropriate business units for implementation. 

State Compliance Reports:

  • Prepare, coordinate, and file regulatory submission documents (e.g., data calls and mandatory reports)
  • Collect and analyze data required for timely reporting to regulatory agencies, and maintain filing calendar to track key dates for regulatory agency reporting. 



Selection Criteria:

  • 5-7 years of Insurance Experience required, Life Insurance preferred
  • Compliance Experience is required
  • Legal Department Experience a plus


Work Setting:

  • Works in White Plains, NY office
  • Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings
  • Continuously makes repetitive motions of the wrists, hands and/or fingers
  • Requires complex reading and writing skills
  • Hearing and listening ability
  • Requires standing and walking within the department and throughout the building complex


Educational Requirements:

  • Bachelor's Degree Required


Computer Skills and Knowledge of Hardware & Software Required:

  • Knowledge of legal research engines (e.g., Westlaw)
  • Proficient with Microsoft Office


Position Demands:

  • Leadership and management skills with the ability to energize and coach others
  • People skills including the ability to influence, gain commitment and effectively handle conflict
  • Ability to take decisive action
  • Excellent research, interpersonal skills
  • Ability to identify and analyze insurance laws and regulations for application to business operations
  • Ability to identify and effectively manage and resolve compliance issues
  • Excellent verbal and written communication skills
  • Ability to organize, prioritize work and manage competing priorities
  • Ability to learn and use electronic compliance programs


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