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Description
The incumbent will have primary responsibility for conducting comprehensive compliance reviews for Primerica in the U.S. and Canada. Specifically; planning and executing reviews for Anti-Money Laundering (AML) for the insurance and securities businesses in the U. S., testing for compliance of new Canadian AML regulations and performing the annual AML review of PNC Global Investment Services. The incumbent will also conduct compliance reviews for the Export Administration Act, Privacy regulations, Fair Lending, Regulation W Sections 23A/B, the Required Absence Policy and assist with term insurance and securities reviews. The incumbent will be responsible for updating and maintaining the Regulatory Risk Matrix (RRM) for all business lines including working with PFS Legal Counsel to identify key legal risks and the corresponding requirements for compliance. The incumbent will also be required to work with departmental and senior management in the business units to focus on identifying key legal and compliance risks and control issues within the department, developing effective tests over the identified controls, writing reports on the findings and tracking corrective actions. The incumbent will also be responsible for assisting in the preparation of the annual Compliance and AML risk assessment (CARA) and updating the Compliance Plan including monitoring and documenting progress on compliance objectives. The incumbent will assist Canada Compliance with special projects including the automation of tracking and monitoring of the Annual Compliance Meeting. In addition, the incumbent will work with business management, legal counsel and compliance management in rewriting policies for Primerica U.S. and Canada due to the IPO.
Qualifications
* Bachelor's degree or equivalent business experience
* Series 6 and 26 securities licenses
* In depth knowledge of regulations for all product lines, including insurance, loans and securities
* Audit Experience
* Knowledge of all product line industries (life, long term care, mutual funds, variable annuities, home loans, debt consolidation loans, and prepaid legal)
* Knowledge of PFS sales force and corporate structure
* Knowledge and understanding of other departments' functions
* Knowledge of when to involve other departments on consulting basis for in-depth advice
* Knowledge, understanding and appreciation for business/management concerns or motivations
* Knowledge of internal guidelines and business policies
* Strong relationships with business personnel
* Strong analytical skills
* Strong research and writing skills
* Strong interpersonal skills
* Strong communication skills (verbal and written)
* Strong project planning and implementation skills
* Negotiation skills
* Presentation skills
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