Regulatory Compliance Associate

Summary

Join Protective Life Corporation as an Associate in the Compliance Testing Group! Under the supervision of the Director, you will conduct risk-based evaluations of regulatory compliance, adherence to policies, and operational effectiveness. Responsibilities include conducting testing engagements, documenting findings, and communicating results to management. You will research regulatory requirements, request data, and perform testing. Collaboration with compliance and business partners is key to supporting remediation plans. This role requires a Bachelor’s degree (preferred) and five years of relevant experience in areas such as internal audit, financial institution operations, or compliance. Demonstrated knowledge of state and federal laws and regulations is preferred, along with proficiency in Microsoft Office Suite. The targeted salary range is $51,500 to $72,000, with additional incentive opportunities based on performance.

Requirements

• Bachelor’s degree preferred
• Five years of experience (any combination): internal auditor, financial institution operations, compliance professional, life & annuity operations, regulatory examinations, SEC Rule 38a-1, Variable life and annuities

Responsibilities

• Conduct risk-based evaluations of Protective Life Corporation and its subsidiaries’ regulatory compliance, adherence to policies and procedures, and operational effectiveness through the timely execution of compliance testing engagements
• Conduct testing engagements; document the scope; findings; conclusion and remediation in a formal test report
• Research regulatory requirements and establish testing criteria
• Request data and perform testing
• Discuss findings with compliance and business partners
• Communicate test results to impacted management partners via oral and written reports
• Support the development and completion of remediation plans by business partners to ensure identified risks are addressed
• Participate in projects as assigned

Preferred Qualifications

• Demonstrated knowledge of state and federal laws and regulations covering Protective’s suite of products and services preferred
• Demonstrated ability to perform statistical analyses of operational and financial data
• Ability to perform tests under general supervision and draft reports
• Demonstrated organizational skills and ability to prioritize effectively
• Attention to detail
• Proficient in Microsoft Office Suite, with a heavy emphasis on Microsoft Excel
• Experience with Archer and audit data analysis/extraction tools
• Certified Public Accountant (CPA), Certified Internal Auditor (CIA), and/or Certified Fraud Examiner (CFE), or Certified Regulatory Compliance Manager preferred

Benefits

• Targeted salary range for this position is $51,500 to $72,000
• Additional incentive opportunities through an annual incentive based on individual and Company performance