Sr. Compliance Analyst, Suitability

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Job PurposeThe Senior Compliance Analyst is responsible for the implementation and monitoring of policies and procedures to ensure the Company's compliance with regulatory requirements and corporate compliance initiatives, and providing support for Jackson's Compliance Program. The Senior Compliance Analyst completes assigned tasks, participates in various projects and provides training and education for associates as requested by management. The Senior Compliance Analyst serves as a subject matter expert and mentor to Compliance Analysts.Essential Responsibilities

• Performs reviews to ensure compliance with relevant financial industry regulations.
• Responds to inquiries from internal stakeholders about regulatory requirements.
• Prepares and submits regulatory filings.
• Remains current on relevant regulatory matters.
• Participates in processes and projects as requested by management.
• Demonstrates superior characteristics in terms of quality work product, dependability, attitude and overall willingness to contribute to team goals.
• Conducts research on rules and regulations to determine impact on company procedures, and makes recommendations.
• Develops and/or modifies procedures and reference material.
• Serves as subject matter expert and mentor to Compliance Analysts and may assist with training new associates.
• Attends meetings with stakeholders as requested.
• Performs suitability and best interest reviews to ensure compliance with relevant financial industry regulations and makes a determination using set parameters.
• Communicates review outcomes with financial professionals and firms.
• Researches and investigates financial professionals and firms as identified during surveillance reviews.
• Gathers information and research and prepares responses to inquiries from internal stakeholders about regulatory requirements.
• Escalates instances on non-compliance.
• Assists in the gathering and maintenance of KPIs, metrics, and other data for compliance reporting.

Other Duties

• Performs other duties and/or projects as assigned.

Knowledge, Skills and Abilities

• Ability to read and interpret rules and regulations applicable to Jackson, including state and federal regulations.
• Strong knowledge of insurance and/or financial industry regulations.
• Strong knowledge of annuity and insurance products, including Jackson products.
• Detail-oriented, organized, thorough and persistent.
• Ability to prioritize and meet deadlines.
• Effective written and verbal communication skills.
• Ability to establish and maintain effective working relationships with superiors, colleagues, and internal and external contacts.
• Ability to work independently and make decisions with limited supervision.
• Ability to multi-task and be flexible.
• Strong knowledge of Microsoft Office tools (Word, Access, Outlook, Excel).
• Ability to work effectively in a team environment.
• Strong ability to manage conflict.
• Ability to follow written procedures.
• Ability to maintain a high degree of confidentiality and professionalism.
• Critical thinking and problem-solving skills that include the application of both good business sense and common sense.
• Ability to systematically evaluate the potential risks associated with taking a course of action.
• Ability to weigh the pros and cons of options against an established risk tolerance.
• Ability to compose letters and memorandum in a clear, concise, and thorough manner.

Qualifications

• Bachelor's Degree or equivalent experience required.
• 3+ years of relevant professional experience (insurance, financial services, compliance, legal, etc.) required.
• Securities Industry Essentials (SIE) required.
• FINRA Series 6 or 7 required.

We don't just accept difference - we celebrate it, we support it, and we thrive on it for the benefit of our employees, our products and our community. Jackson is proud to be an equal opportunity workplace. The Company subscribes to and endorses federal and state laws and regulations relating to equal employment opportunity for all persons without regard to race, color, religion, gender, age, national origin, legally-recognized disability, marital status, legally-protected medical condition, citizenship, ancestry, height, weight, sexual orientation, veteran status, or any other factor not related to the needs of the job. The Company is committed to a policy of equal opportunity. Company facilities and campuses are tobacco-free environments.