Western & Southern Financial Group

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Job Locations US-OH-CINCINNATI
Provides legal services on securities and regulatory matters relating to the registration and operation of mutual funds, exchange-traded funds, and variable insurance products, and provides advice regarding compliance with the Investment Company Act of 1940 (“40 Act”).
Function
Compliance & Legal
ID
2021-16467
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: Performs: (1) annuity and life insurance reviews in accordance with state regulations across applicable distribution channels and subsidiaries of Western & Southern Financial Group (W&SFG) and (2) securities reviews in accordance with FINRA and SEC requirements for registered and other applicable products distributed through Western & Southern Brokerage Services (W&SBS). Evaluates whether business transactions are in compliance with regulatory requirements and W&SFG policies and procedures, and thoroughly documents the approval or rejection decision. Works with limited supervision, handles multiple priorities and is responsible for making a broad range of decisions while escalating to management as necessary.
Function
Compliance & Legal
ID
2021-16459
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: Assists the Chief Compliance Officers (CCO) in the leadership of compliance management of Touchstone Investments (TI) and its regulated entities (Touchstone Securities, Touchstone Advisors, and Touchstone Funds). Provides senior compliance oversight and regulatory guidance instituting effective governance and risk management practices. Partners with the Touchstone CCOs in the development and application of strategic vision for the culture of compliance for an advisor/fund complex with $20 billion in assets under management, and a broker-dealer with 180+ registered representatives. The Sr. Compliance Officer (SCO) is primarily responsible for directly assisting the Touchstone CCOs in maintaining regulatory, risk, and governance oversight by analyzing, recommending, and establishing internal controls and effective governance, compliance, and operational practices. The (SCO) acts as a liaison between compliance and the Law department, coordinating the review of contracts, selling agreements, policies and procedures, and complaints. In support of the CCOs, the (SCO) manages business risks by overseeing the ongoing auditing and monitoring of all compliance and regulatory governance requirements related to Touchstone Investments (TI) and affiliated regulated entities. The (SCO) is the primary backup for the CCOs when they are not available. The (SCO) serves as a senior compliance representative in various governance oversight committees (representing the CCOs), manages multiple deadlines, and works in autonomous fashion with limited daily supervision, making a broad range of critical decisions. The (SCO) additionally manages the preparation of reports or other actions requested by the parent entity, Western & Southern Financial Group (W&SFG), for presentation to the Touchstone Mutual Funds' board of trustees and the board of directors, Touchstone Securities and Touchstone Advisors.
Function
Compliance & Legal
ID
2021-16454
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: Assists the Chief Compliance Officers (CCO) in the leadership of compliance management of Touchstone Investments (TI) and its regulated entities (Touchstone Securities, Touchstone Advisors, and Touchstone Funds). Provides senior compliance oversight and regulatory guidance instituting effective governance and risk management practices. Partners with the Touchstone CCOs in the development and application of strategic vision for the culture of compliance for an advisor/fund complex with $20 billion in assets under management, and a broker-dealer with 180+ registered representatives. The Sr. Compliance Officer (SCO) is primarily responsible for directly assisting the Touchstone CCOs in maintaining regulatory, risk, and governance oversight by analyzing, recommending, and establishing internal controls and effective governance, compliance, and operational practices. The (SCO) acts as a liaison between compliance and the Law department, coordinating the review of contracts, selling agreements, policies and procedures, and complaints. In support of the CCOs, the (SCO) manages business risks by overseeing the ongoing auditing and monitoring of all compliance and regulatory governance requirements related to Touchstone Investments (TI) and affiliated regulated entities. The (SCO) is the primary backup for the CCOs when they are not available. The (SCO) serves as a senior compliance representative in various governance oversight committees (representing the CCOs), manages multiple deadlines, and works in autonomous fashion with limited daily supervision, making a broad range of critical decisions. The (SCO) additionally manages the preparation of reports or other actions requested by the parent entity, Western & Southern Financial Group (W&SFG), for presentation to the Touchstone Mutual Funds' board of trustees and the board of directors, Touchstone Securities and Touchstone Advisors.
Function
Compliance & Legal
ID
2021-16453
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: Oversees, leads, and manages the implementation and continued maturity of the W&S Operational Excellence (OpEx) system, which identifies and maximizes value for customers while engaging associates in regular and sustainable process improvement. Works with business Leaders, Managers and Associates to drive the development and execution of standard operating practices supporting the business’s financial and operational goals. This role will learn and deploy a consistent, systematic methodology for achieving process excellence that drives performance acceleration leading to stakeholder value creation.
Function
Compliance & Legal
ID
2021-16446
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: Supports The Western and Southern Life Insurance Company, Columbus Life Insurance Company, Intergrity Life Insurance Company, The Lafayette Life Insurance Company, National Integrity Life Insurance Company, Gerber Life Insurance Company and Western-Southern Life Assurance Company Business Units (collectively referred to as BUs) and Shared Services Units (SSUs) by completing research and analysis of legal and regulatory requirements and applying those to product filing and forms work. Gains a full understanding of and ensures compliance requirements are met regarding new products assigned, including product features, filing requirements, state variations, form requirements, marketing strategy and target markets.   Prior to a product launch, escalates any red flags or other concerns related to Anti-Money Laundering, privacy, licensing, sales practice or other rules, regulations or internal policies with the appropriate member of the compliance management team. Maintains accurate records related to filing and forms compliance. Interacts with regulatory agencies or industry groups, as needed. Works on general compliance projects and strategic initiatives as assigned. Performs peer reviews of completed filings and raises relevant concerns or issues prior to filing. Works with limited supervision and is responsible for making an established range of decisions, timely escalating to management as appropriate, including providing regular updates regarding product projects and related efforts. Position Responsibilities: ·       Actively supports product development efforts by gaining a full understanding of new products assigned, including product features, filing requirements, state variations, form requirements, marketing strategy and target markets. Raises and escalates, as appropriate, any compliance concerns proactively, and works to resolve issues prior to filing. Represents Insurance Compliance on product development and other teams/projects to ensure compliance issues are raised. Brings up any red flags or other concerns related to Anti-Money Laundering, privacy, licensing, sales practice or other rules with the appropriate member of the compliance management team prior to product filing. ·       Submits product and regulatory filings to the State Departments of Insurance (DOI), including rate filings, advertising, and various periodic and annual reporting requirements. Researches and creates state variations of forms and summary of state variation documentation. Manages submissions through approval. ·       Develops and/or updates forms for initial submission to states, or revises forms as required by objections received from the DOI. Ensures forms reflect regulatory requirements and established standards for the product/type. ·       Serves as a liaison between the DOI and the BUs and SSUs to negotiate favorable and appropriate resolutions of concerns and objections. Coordinates with multiple departments, and manages responses to DOI objections and disapprovals. ·       Researches insurance regulations and laws, and analyzes and interprets regulatory compliance requirements by state related to new products, forms and filing requirements. Updates procedures and processes in response to regulatory changes as appropriate. Regularly interacts with internal customers, including BUs, SSUs, Law and Actuarial to identify concerns and issues, escalating as appropriate to management and stakeholders. ·       Completes accurate and timely documentation for forms and product filing recordkeeping system, and keeps databases current. This information will be used to respond to regulatory requests and inquiries. ·       Stays abreast of industry and compliance trends related to forms and product filing; recommends and implements changes to internal company processes as needed. Establishes and maintains a working knowledge of insurance products, regulatory requirements, and business forms and processes. ·       Performs peer reviews to ensure quality of filings and to reduce state objections. Provides feedback to peers and makes recommendations to improve process. ·       Responds to inquiries from associates and management concerning new products, filings and forms. ·       Works with Compliance management to develop and maintain guidelines, manuals and processes for product filing and forms review processes. ·       Performs other duties as assigned by management. Selection Criteria: ·       Demonstrated knowledge of the life insurance industry, including product types and basic regulatory information. ·       Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation. Must cite examples of organizational skills. ·       Proven ability to maintain a calm and professional demeanor when handling stressful situations, including pressure associated with volume workloads, meeting deadlines and target dates. ·       Demonstrated strong verbal and written communication skills, and interpersonal and collaborative skills with experience conveying information to internal customers at all levels in a clear, accurate, focused and concise manner.   Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style. ·       Demonstrated experience working effectively independently and within a team environment. ·       Proven consistently strong client relationship skills while working with multiple clients. Work Setting: - 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. - Requires visual acuity to read a variety of correspondence, reports and forms, and to prepare and analyze data in an accurate, neat and thorough manner. Educational Requirements: - Bachelor’s degree or comparable industry experience. Computer Skills and Knowledge of Hardware &Software Required: - Proficient in the use of Microsoft Office (Excel, Access, Word). Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.): - LOMA - Associate, Insurance Regulatory and Compliance (AIRC) designation or must be obtained within 18 months of hire. Position Demands: - Extended hours required during peak workloads or special projects.    
Function
Compliance & Legal
ID
2021-16335
Subsidiary
Western & Southern Financial Group
Job Locations US-OH-CINCINNATI
Summary of Responsibilities: The Compliance Officer -Investments/Risk Management is an experienced sole contributor that assists the Chief Compliance Officer (CCO) in the management of compliance processes in support of Fort Washington Investment Advisors, Inc. (FWIA).  Provides compliance oversight, regulatory guidance instituting effective governance and risk management practices.  Partners with (CCO) and Senior Management in the development and application of strategic vision for the culture of compliance for a SEC registered investment adviser.  The Compliance Officer-Investments/Risk Management is responsible for assisting the (CCO) in maintaining regulatory, risk, and governance oversight by analyzing, and establishing internal controls.  The  Compliance Officer-Investments/Risk Management owns and leads compliance program activities, including oversight of business requirements and internal controls for Fort Washington’s primary lines of business, liaising with senior management and departmental management, supervising the conduct of needs analysis’ and coordinating the reviews of client and vendor agreements, policies and procedures, and complaints.  In support of the (CCO), the Compliance Officer-Investments/Risk Management manages business risks by coordinating and leading compliance projects and monitoring of compliance and regulatory governance requirements.  The primary focus of this position is to ensure compliance-related investment and quality assurance processes are managed and regulatory and client risks are sufficiently mitigated in a timely manner.  The Compliance Officer-Investments/Risk Management assists in the management of compliance oversight related to client's investment policy statements including social and environmental responsible investing and remediates areas of non-compliance.  The Compliance Officer-Investments/Risk Management collaborates with the (CCO) in attending and supporting various governance oversight committees, manages multiple deadlines, responds to requests from regulators, responds to moderately complex compliance questions, leads project teams, and works in a semi-autonomous fashion with limited daily supervision, making a broad range of critical decisions.  The Compliance Officer-Investments/Risk Management additionally manages the preparation of reports or other actions requested by the parent entity, Western & Southern Financial Group (W&SFG), for presentation to Fort Washington's Board of Directors.  
Function
Compliance & Legal
ID
2021-15262
Subsidiary
Fort Washington Investment Advisors, Inc.
Job Locations US-NY-WHITE PLAINS
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.
Function
Compliance & Legal
ID
2020-13648
Subsidiary
Gerber Life Insurance Company
Job Locations US-NY-WHITE PLAINS | US-MI-FREMONT
Develop and implement compliance policies and procedures for Group Benefits business (e.g., stop loss, limited medical, group accident insurance coverage).  Work with internal and external partners on compliance and related matters. Develop and file policy forms in all states and the Interstate Insurance Compact for approval, as required. Manage regulatory reporting and oversee the Group Benefits business’ compliance with HIPAA and other privacy and data security laws. Provide regulatory guidance to business unit management and communicate any areas of noncompliance in a professional and effective way. Works with minimal supervision, escalating when necessary, and updating management on a regular basis.
Function
Compliance & Legal
ID
2020-13647
Subsidiary
Gerber Life Insurance Company

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