Compliance Specialist

Welcome to Western & Southern Financial Group Our focus on creating value for our customers through everything we do is foundational to who we are.

We provide meaningful and challenging work for our associates, a key facet of our incredible culture that helps make Western & Southern a career destination.

• 135 years of operating history;
• Born as a modest, door-to-door life insurance business and built to last forever
• Ranked 284 on Fortune 500
• Ranked No. 29 among Fortune 500 companies as a best company for career growth
• Award winning Talent Development Team
• Top 10 for Top Spouse Employer and Military Friendly Employer in 2023
• We consider Cincinnati the best place to live, work and celebrate life that is why we are committed to doing good for our community

Our Culture

We are building our company to thrive and provide value to our customers, business partners and associates over the long term.

To accomplish this, we look for professionals who embody our culture of integrity, top-notch performance, collaboration and teamwork.

We are committed to hiring and developing associates who are driven to excel, have a strong work ethic and use astute, fact-based and ethical judgment in decision-making.

A Day in the Life

The Compliance Specialist Monitoring supports the Western & Southern Financial Group (W&SFG) insurance companies in meeting insurance and certain federal regulatory compliance requirements.

This position is responsible for maintaining accurate records related to compliance reviews, and interacting with regulatory agencies or industry groups, as needed.

Works on general compliance projects and strategic initiatives as assigned.

Duties and Responsibilities

• Conducts regular monitoring and oversight to identify and remediate potential risks.
• Performs compliance reviews / remediation project in a timely, efficient, and professional manner. Prepares workpapers that accurately document testing results and overall adherence to regulatory requirements.

Identifies practical recommendations for improvements.

• Leads cross functional projects to ensure compliance with regulatory requirements and remediate areas of non-compliance.
• Research insurance regulations and laws and analyzes and interprets regulatory compliance requirements. Updates procedures and processes in response to regulatory changes as appropriate.
• Assists in communicating to impacted BUs and SSUs compliance requirements, regulatory changes and regulatory actions. Advises BUs and SSUs regarding regulatory implications of business decisions and the implementation of controls to mitigate risk.

Desired Competencies and Skills :

• Bachelor's Degree or equivalent experience.
• 4-6 years related experience.
• Demonstrated experience working effectively independently and within a team environment.
• Demonstrated knowledge of the life insurance industry, including product types, and state insurance laws and regulations.
• Proven experience conducting compliance assessments of compliance and regulatory risk.
• LOMA - Associate, Insurance Regulatory and Compliance (AIRC) designation. within 1-1 / 2 Yrs

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Premier Benefits to Support YOU

• Comprehensive benefits including medical, dental, vision, prescription, pet insurance, life insurance, disability, Fertility, maternity / caregiver & parental leave, and more!
• Retirement solution with our 401(k) savings AND pension plan!
• Paid time off that increases with tenure.
• Tuition Reimbursement
• Subsidized affordable parking
• On-site Cafeteria and fitness center (including sports leagues)
• On-site Registered Nurse
• Career Coaching / Mentoring
• Individualized development plans and career pathing
• Learn more about who we are visit;
5 days ago