Analyst II, Compliance role at TruStage managing regulatory responses and compliance activities. Collaborating with teams to implement policies and ensure adherence to regulations in financial services.
Responsibilities
Coordinate and respond to regulatory complaints, exams and inquiries by collecting information, drafting responses and ensuring timely, accurate submissions that meet all regulatory requirements
Collaborate with internal business areas, legal, and compliance teams to investigate issues, validate information and support continuous improvement of regulatory response process
Support the development and maintenance of procedures, templates and reports related to regulatory engagement and oversight activities
Receive notifications regarding new or revised regulations and take action to implement policies, procedures, processes and forms to support the business line
Communicate and support changes to field, internal staff and other affected areas
Participate in periodic audits and maintain document of compliance processes
Performs compliance reviews, enterprise assessments and policy/procedure reviews as directed
Actively identify risks to the business, products, work and associates
Participates in the preparation of regulatory filings and/or forms to meet business needs and comply with the substance and language requirements of regulatory authorities in all states
Requirements
Bachelor's degree in Business, Insurance or related field or an equivalent work experience
0-3 years of relevant experience
Ability to understand regulations and compliance issues and apply understanding to effect sound design of sound procedures
Problem solving, decision making and multi-tasking abilities
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