Job Description

Compliance Analyst \xe2\x80\x93 Regulatory Guidance Summary This position is an entry-level position in the Compliance field. The focus of this position is to conduct business process reviews and compliance assessments and support the Regulatory Change Management process by monitoring and communicating changes to existing state and federal insurance laws. Additional responsibilities include maintaining the Company\xe2\x80\x99s Privacy program, assisting with market conduct examinations and other regulatory requests, and other general compliance related activities. The position requires review of both fixed and variable life insurance and annuity products, including indexed universal life insurance and living benefits.
Key Responsibilities:

• With guidance, conduct compliance risk assessments of business processes and procedures, identify and address any action items, provide management reports, conduct ongoing monitoring and auditing of processes and procedures as necessary.
• Assist with regulatory requests as it relates to market conduct examinations, interrogatories, audits, data calls, requests, and inquiries. This includes the required quarterly and annual regulatory reports due throughout the year.
• Assist in researching, analyzing, and responding to formal requests from departments of insurance and other regulators.
• Assist with the review and interpretation of new and/or existing insurance regulations and implementation of process procedures to ensure compliance.
• Support the Company\xe2\x80\x99s Privacy Program, including handling customer requests and researching privacy incidents.
• Support the Chief Compliance Officer, Separate Accounts, with weekly, monthly, quarterly, and annual regulatory requirements for the Company\xe2\x80\x99s closed block of variable product business.
• Assist with training and awareness sessions to producers, office managers, general agents, regional VPs, and home office associates as needed.
• Promote compliance awareness by assisting in producing and disseminating timely compliance presentations, communications, and notices.
• Assist with updating procedural documentation.
• Perform other duties, as assigned.

• Proficiency in Microsoft Office Suite
• Ability to work with minimal supervision to meet established service levels and timely escalate any concerns
• Effectively work in a team environment, closely collaborating with business partners
• Ability to provide exceptional customer service through empathy, listening, and understanding client needs
• Demonstrate tact and professionalism and the ability to interact at all levels of management
• Ability to understand, interpret, and communicate straightforward subject matters with guidance as needed from more experienced team members
• Excellent written and verbal communication skills
• Ability to work in a fast-paced environment, with a high degree of accuracy
• Ability to maintain confidentiality on sensitive matters

• Strong organizational, time management, qualitative, and analytical skills
• Ability to question existing processes and procedures to constantly improve and simplify the way our clients interact with us
• Must be able to pass a background check

• Bachelor\xe2\x80\x99s degree, required
• 3+ years industry experience, with compliance-related experience preferred
• LOMA certifications preferred, specifically the AIRC designation
• Demonstrated basic product knowledge of fixed life and annuities

The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.

Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment

National Life Group\xc2\xae is a trade name of National Life Insurance Company, Montpelier, VT \xe2\x80\x93 founded in 1848, Life Insurance Company of the Southwest, Addison, TX \xe2\x80\x93 chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

Fortune 1000 status is based on the consolidated financial results of all National Life Group companies.

National Life Group

1 National Life Dr

Montpelier, VT 05604

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