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$85,000 - $95,000 + Good Benefits | Harrison, NY
Ref: 3777D

North America / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading Insurance firm, is recruiting a Senior Compliance Specialist to provide Compliance support for insurance sales and product development. Detailed duties include; 

  • Prepare and review new policy forms, ensuring adherence to legal & regulatory requirements 
  • Manage form and rate filing process with states and the Interstate Compact, including preparing responses to objections based on independent review and analysis 
  • Support the product development team in the review of products, including assisting with drafting and confirming compliance requirements 
  • Maintain and update Company Disclosure Matrix to ensure product disclosures are provided  
  • Responsible developing and rolling-out compliance training 
  • Lead efforts and work with internal subject matter experts to review and revise compliance training in accordance with required regulations and company guidelines 
  • Draft and maintain Standard Operating Procedures (SOPs), manuals and other written guidance for internal associates and external business partners to support compliance management responsibilities 
  • In consultation with Legal, research and analyse laws and regulations to provide written guidance to appropriate business units for implementation 
  • Prepare, coordinate and file regulatory submissions (e.g. data calls & mandatory reports) 
  • Collect and analyse data required for timely reporting to regulatory agencies, and maintain filing calendar to track key dates for regulatory agency reporting  

You should have a Batchelors degree and several years of Life Insurance Compliance Experience. Any legal experience useful though more important is a can-do attitude with good communication skills. Role based in pleasant office just off the freeway about a 30 min drive from Manhattan. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (Including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

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