Compliance Analyst II

Job Description:

Providing for loved ones, planning rewarding retirements, saving enough for whatever lies ahead – our policyholders count on us to be there when it matters most. It’s a big ask, but it’s one that we have the power to deliver when we work together. We collaborate and innovate – pushing one another to transform not just Pacific Life, but the entire industry for the better. Why? Because it’s the right thing to do. Pacific Life is more than a job, it’s a career with purpose. It’s a career where you have the support, balance, and resources to make a positive impact on the future – including your own.
We’re actively seeking a talented Compliance Analyst II to join the Product Compliance team in Newport Beach, CA.
As a Compliance Analyst II, you will fill an existing role that sits on a team of 15 people in the Office of General Counsel. Your colleagues will include other analysts and fellow Product Compliance professionals.

How you’ll help move us forward:

• Generate reports

• Review and capture information in logs and reports and conduct quality reviews of data

• Maintain and route documents for review and storage

• Update procedure documents, charts, and internal tools

• Monitor team inboxes

• Reconcile fees and expenses

• Be responsible for organizing and archiving regulatory filings

• Assist in preparation of SEC filings with the use of a prospectus builder platform

• Maintain spreadsheets and trackers as well as schedules and shared calendars

• Reviews and analyzes sales and marketing materials, completes appropriate filings, and coordinates regulator audits and litigation requests.

• Conducts market exams to ensure new client due diligence checks are completed and employees possess the required securities and licensing requirements.  Investigates allegations of unethical activity.

• Assists in the unit's compliance training initiatives including designing, developing, maintaining, implementing, and coordinating, training and communications related to compliance policies and procedures covering employees and third parties including producers, suppliers, vendors, and clients.

•  May leverage automation technology to improve efficiency, accuracy, and develop new functionality for compliance initiatives and responsibilities. 

• May review and monitor submissions of correspondence, client and employee accounts, producer sales activity, consumer complaint process, and the organization’s standards of conduct.

• Documents findings and escalates items to the Compliance Leader for further review and corrective action.

• Maintains agency/field/producer/investment advisory/privacy, breach and HIPAA policies compliance related records and files.

• May conduct and facilitate internal and external audits to identify, evaluate, disclose and appropriately remedy risks and deficiencies.

• May serve as point of contact with regulatory agencies for defined matters.

•  May coordinate compliance activities with other areas as needed.

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The experience you bring:

• 2+ years of experience

• 4-year degree or equivalent experience

• Administrative or paralegal experience

• Must have excellent written and communication skills

• Experience with the full suite of Microsoft Office 365 products

• Proficiency in Word, Adobe, and Excel is essential for this role

• Ability to support administrative and clerical needs on a day-to-day and project basis

• Must be able to run with projects independently following instruction from more senior colleagues

• Require minimum guidance or prompting on day-to-day project

#LI-KB1
How you’ll help move us forward:
• Independently develop business requirements and file basic to moderately complex products, applications, advertising material and related forms with regulators.  
• Independently develop application and related forms that support all submission methods, digital initiatives, and underwriting innovations. Development is based on project scope, business need and regulatory requirements.  
• Support the development of digital solutions to improve the customer experience, streamline or automate certain tasks. This includes automating processes and procedures where possible, identifying and implementing technology solutions to enhance efficiencies within compliance and the organization.  
• Identify, maintain, and utilize data to generate insights and support data-driven decision making. This includes its use within the compliance area to support Pacific Life’s strategic initiatives.  
• Anticipate internal and external business challenges and recommend process or service improvements in support of primary responsibilities.  

• Perform regulatory analysis in support of primary responsibilities, respond to internal compliance questions and participate in the data gathering and preparation of Market Conduct Exam responses.

• Manage assigned project work and responsibilities with a moderate level of guidance and direction.  
What makes you stand out:
• Excellent written and verbal communication, along with a professional and collaborative demeanor. 
• Excellent computer skills, including Microsoft Office products, SharePoint, MS Teams; experience with business areas, various user interfaces and mainframe applications are a plus. 
• Strongly desired: experience with analytics, the use of analytical concepts in the appropriate context and contemporary tools. 

• Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
You can be who you are.
People come first here. We’re committed to an inclusive workforce. Learn more about how we create a welcoming work environment at www.pacificlife.com. What’s life like at Pacific Life? Visit Instagram.com/lifeatpacificlife.
Benefits start Day 1.
Your wellbeing is important. We’re committed to providing flexible benefits that you can tailor to meet your needs. Whether you are focusing on your physical, financial, emotional, or social wellbeing, we’ve got you covered.
• Prioritization of your health and well-being including Medical, Dental, Vision, and a Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents
• Generous paid time off options including Paid Time Off, Holiday Schedules, and Financial Planning Time Off
• Paid Parental Leave as well as an Adoption Assistance Program
• Competitive 401k savings plan with company match and an additional contribution regardless of participation.

Base Pay Range:

The base pay range noted represents the company’s good faith minimum and maximum range for this role at the time of posting. The actual compensation offered to a candidate will be dependent upon several factors, including but not limited to experience, qualifications and geographic location. Also, most employees are eligible for additional incentive pay.

Your Benefits Start Day 1  
 

Your wellbeing is important to Pacific Life, and we’re committed to providing you with flexible benefits that you can tailor to meet your needs. Whether you are focusing on your physical, financial, emotional, or social wellbeing, we’ve got you covered.

• Prioritization of your health and well-being including Medical, Dental, Vision, and Wellbeing Reimbursement Account that can be used on yourself or your eligible dependents

• Generous paid time off options including: Paid Time Off, Holiday Schedules, and Financial Planning Time Off

• Paid Parental Leave as well as an Adoption Assistance Program

• Competitive 401k savings plan with company match and an additional contribution regardless of participation

EEO Statement:

Pacific Life Insurance Company is an Equal Opportunity /Affirmative Action Employer, M/F/D/V. If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disability. To request an accommodation, contact a Human Resources Representative at Pacific Life Insurance Company.