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 our Office of the General Counsel, CMD Legal & Compliance in Newport Beach, CA. This role is hybrid. We believe in empowering our employees to get work done both in and out of the office
As a Compliance Analyst II, you will move Pacific Life and your career forward, by providing an array of administrative support to two related legal and compliance units. The Variable Products Legal Team and Product Compliance Team, responsible for insurance/annuity contract filings, will rely on you to be a key resource in: the filings, documentation, and archiving process, quality control and reconciliation of data, as well as maintenance of calendars, and group e-mailboxes. You will fill a new role that sits within the Variable Products Legal Team but also supports the Product Compliance Team. Your colleagues will include attorneys and fellow legal and 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 projects

What makes you stand out:

• Being proactive and anticipate the needs of the teams

• Willingness to ask questions and develop personal resources to ensure that you can make consistent and valuable contributions

• Be adept at problem solving and resource utilization to achieve success

• Paralegal or compliance experience within the financial services, investments, banking, or related space

• Working knowledge of Teams, OpenText, SharePoint, Smartsheet, and document management systems

• Variable product experience and/or experience in the Securities Act of 1933 and the Investment Company Act of 1940

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You can be who you are.
People come first here. We’re committed to a diverse, equitable and inclusive workforce. Learn more about how we create a welcoming work environment through Diversity, Equity, and Inclusion 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.

$74,970.00 - $91,630.00

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.