Western & Southern Financial Group

Compliance Manager - Agency-Legal Department

Compliance & Legal
Full Time
Gerber Life Insurance Company
Posted Minimum Hiring Salary
USD $100,000.00/Yr.
Posted Maximum Hiring Salary
USD $134,000.00/Yr.


Manage compliance management initiatives that impact partnership marketing, including agents, brokers, managing general agents, third party administrators, and other sales, marketing, and distribution partners. Develop and implement compliance policies and procedures for the independent agency business and assist with other insurance compliance initiatives.  As directed by Compliance Director, work with internal and external partners on compliance and related matters, including NY Regulation 187. Provides regulatory guidance to business unit management and communicates any areas of noncompliance in a professional and effective way. Works with minimal supervision and is responsible to make a wide range of decisions, escalating to management when necessary, and updating management on a regular basis.



Agency Compliance Management:

  • Responsible for developing and updating general compliance guidance for life and health product sales through independent agency partners, including compliance with New York Regulation 187, as well as telemarketing and privacy laws;
  • Develop and maintain a compliance program that includes providing guidance to internal and external partners, as a subject matter expert;
  • Oversee compliance related to independent agents, including compliance with licensing and appointment requirements, advertising, and sales requirements;
  • Work with the independent agency business partners in reviewing and approving advertising (e.g., websites, sales scripts and correspondence), and ensure such advertising is filed for approval, as required;
  • Manage the Reg 187 Oversight and Supervision and performs Compliance audits for Company sales in New York, which includes both independent agency business and contact center sales;
  • Serves as subject matter expert of the independent agency business, including the regulations related to licensing and appointment; 
  • Ensure documented compliance guidance is in place for internal and external partners;
  • In consultation with Legal, review and revise agency business partner contracts, for compliance purposes; and
  • Participate in Agency Oversight Committee on independent agency related issues.

Product Development Support: 

  • Assist with drafting life and health policies, ensuring compliance with applicable laws (e.g., term and whole life, and accident insurance coverages);
  • File and negotiate insurance policy approvals with the Interstate Compact and insurance departments;
  • Ensure all regulatory responses are timely, accurate and high quality; and
  • Collaborate with internal and external partners involved with developing and filing policies.


Insurance Compliance Management: 

  • Analyze and respond to compliance questions;
  • Manage the resolution of regulatory inquiries and reviews (including complaints, market conduct exams, and surveys);
  • Conduct and oversee audits of third-party business partners;
  • Develop and oversee Company Program for New York Regulation 187 (Best Interest and Suitability) compliance;
  • Participate on the Company Compliance Action Team to help implement compliance requirements;
  • Recommend and implement enhancements and process improvements based on an assessment of available regulatory and compliance systems and processes;
  • Research and track regulatory developments to update compliance policies and procedures;
  • Record, investigate and escalate alleged non-compliance with laws, regulations, and Company policies for appropriate handling;
  • Represents Gerber Life on Enterprise projects and initiatives, as needed;
  • Research and analyze laws and regulations to provide written guidance to internal and external partners for implementation;
  • Work with internal and external partners to collect and analyze data, and timely report to federal and state regulatory agencies, including maintaining a tracking calendar for such regulatory reports; and
  • Performs other duties as assigned by management.




·       Demonstrated effective verbal and written communication skills with the ability to convey information to internal and external customers in a clear, accurate, focused and concise manner;

·       Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format;

·       Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style;

·       Demonstrate high level of attention to detail and excellent organizational skills;

·       Proven examples of experience leading projects and the ability to manage multiple priorities simultaneously;

·       Proven research, problem-solving and analytical skills, including experience using various websites and reference manuals/tools;

·       Demonstrated experience identifying, defining and resolving problems, and collecting and interpreting data to establish facts, draw valid conclusions and provide effective resolutions;

·       Demonstrated experience working as part of a team developing cooperation and collaborative work efforts toward solutions that benefit all parties involved;

·       Demonstrated experience applying sound decision-making when dealing with multiple alternatives and choices

·       Ability to take decisive action;

·       Demonstrated strong analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions; and

·       Proven ability to research, interpret, understand and communicate complex regulations, interpreting how they impact supported business channels.


Work Setting:

·       Works in an office setting (Hybrid) 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

·       Requires visual acuity to read a variety of correspondence, reports and forms and to prepare and analyze data in an accurate, neat and thorough way.

·       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, Advanced degree (preferred)


Computer Skills and Knowledge of Hardware & Software Required:

·       Knowledge of legal research engines (e.g., Westlaw);

·       Ability to learn and use electronic compliance programs (e.g., RegEd (Code and Thomson Reuters Legal Tracker);

·       Proficient using SERFF; and

·       Knowledge of AdTrax Tool.


The salary ranges posted reflect our targeted base pay hiring range for the position. The final determination on base pay for any position will be determined based on multiple factors to ensure pay equity within the organization. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives whereby total compensation may exceed base salary depending on individual performance.


Note: Posted Hiring Salary Range



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