Job Summary

Provides regulatory compliance consultative services at the compliance program/enterprise level. Detects and prevents compliance issues and collaborates with business unit/strategic support unit senior management to ensure that effective internal controls are in place. Builds, promotes and maintains a culture of compliance and ethics within the business unit.

Requirements

Required:
• Bachelors Degree in Law or Business Degree in Related Field and 6 or more years of experience in the Financial Services area
OR
• Zurich Certified Insurance Apprentice, including an Associate Degree and 6 or more years of experience in the Financial Services area

AND
• Experience with professional writing such as company policies or other management reports.
• Experience with evaluation, assessment, and/or implementation of internal controls.
• Knowledge of Compliance topics such as Trade and Economic Sanctions, Anti- Money Laundering and Anti-Bribery / Anti Corruption.

Preferred:
• Advanced Degree or Juris Doctor
• Effective conflict resolution, presentation and project management skills
• Advanced research skills
• Strong communication and negotiation skills
• In-depth advisory and consultative skills

Job Descriptions - Key Accountabilities

• Provides technical direction and strategic advice in support of regulatory compliant profitable growth and change management execution strategies and develops remediation action plans.
• Monitors region/segment compliance in one or more of the following areas: validation on business unit fulfillment of consent orders and state or multi-state agreements, coordination of market conduct exams, privacy, anti-money laundering (AML), Office of Foreign Assets Control (OFAC), Zurich Trade Restrictions (ZTR), Anti-trust/Fair Competition and related compliance matters.
• Provides proactive, independent, consultative strategic support, advice and subject matter expertise to business/strategic support unit or product/service leadership and associated product/service teams on all regulatory compliance matters.
• Ensures market products and services are regulatory compliant.
• Leads and/or assists in compliance process improvement design for a line of business or business/strategic support unit.
• Coordinates market conduct exams and remediation efforts, involvement, completes Monitoring Risk Assessment documentation, reviews regulatory compliance internal controls and produces quarterly trend analysis for the Compliance Office and business unit senior management using risk based tools and reports.
• Assists business/strategic support unit staff in analyzing impact and requirements of newly enacted laws and regulations.

Job Functions

• May act as Regulatory Compliance Business Partner in business unit senior staff meetings.
• May focus on the compliance projects for a specific product line, business/strategic support unit or a specific compliance issue.
• Provides assurance to business unit senior management that compliance risks are being identified and appropriately managed.