Corporate Compliance Consultant – NF Compliance, Sales Conduct Team
NationwideAbout the role
The following experience is required for candidates seeking this position:
Candidates should have extensive data analytics and artificial intelligence experience. Experience with specific tools such as Dataiku and Power BI is a plus.
A successful candidate should also have a general understanding of financial regulations and industry best practices, cash and non-cash policies, business practices, annuity and life insurance products, and wholesaling activities, as well as experience in Nationwide Operations with a focus on annuities and life insurance.
Job Description Summary
Are you someone who is compelled to “do the right thing?” Are you able to make decisions to ensure regulatory and legal compliance that protects a business and its customers? If you thrive in an environment where you can solve tricky issues and find ways to achieve business goals within the complex, highly regulated insurance industry, we want to know more about you!We work across the enterprise to help our business partners find ways to work through issues successfully. Nationwide's culture of compliance and passion for providing extraordinary care to its customers makes the Office of Compliance & Ethics a valued partner across the Nationwide enterprise.
As a Compliance Consultant, you will collaborate with our business partners to ensure that business operations are conducted in compliance with regulatory, legal and organizational requirements. You’ll plan, perform and lead various types of compliance reviews with our business partners.
Job Description
Reporting Relationships: Reports to Manager/Director; may be an individual contributor or manage a team of less than 4 associates. May lead a virtual or project team.
Key Responsibilities:
Provides multi-level and multi-issue compliance consulting and advisory services to a diverse mix of customers, including administration, sales, marketing, actuarial, systems, claims, attorneys, accountants, financial advisors, and government and regulatory agencies.
Analyzes various regulations impacting the products and procedures of assigned product and/or functional area. Facilitates the development of policies and procedures and collaborates with our business partners to implement them.
Creates and maintains various reports and metrics for trend analysis.
Creates and maintains internal manuals, documentation files, and other related regulatory records on more complex subjects, ensuring that our records and resources are up-to-date and remain accurate.
Stays informed of compliance and regulatory industry updates and trends by attending professional seminars and continued education programs. Applies information learned to advance or enhance the compliance program.
Creates and facilitates various types of compliance training or presentations for business partners, often on more complex subject matter.
Leads the production of documents and requests for regulatory exams, investigations, subpoenas, etc. including responses to regulatory inquiries.
Collaborates with business leaders to develop and implement corrective actions for identified compliance issues. Monitors corrective action through resolution.
Identifies innovation and continuous improvement opportunities. Follows through to develop the ideas in collaboration with business partners and Compliance staff.
Performs risk assessments and modifies compliance program accordingly.
Creates and performs testing on business unit procedures to ensure compliance with business unit policies. Analyzes results to identify key trends and makes recommendations to our business partners accordingly.
Employs data analytics to strengthen and expand compliance program.
Performs other responsibilities as assigne
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