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NexPoint · 1 month ago

Annuity Operations - Compliance Manager

Dallas, TX

Full-time

Onsite

Senior Level

5+ years exp

NexPoint is looking for a detail-oriented Compliance Manager to join their Retirement Solutions team within the Annuity Operations group. This role involves ensuring regulatory adherence, refining internal policies, and promoting operational best practices in insurance operations.

FinanceFinancial ServicesReal Estate

Growth Opportunities

Responsibilities

Monitor and interpret regulatory changes affecting insurance operations and ensure company policies and procedures reflect current standards

Conduct audits and assessments to verify compliance with industry regulations

Identify and resolve compliance vulnerabilities and provide guidance to the team on insurance compliance-related matters

Conduct review of complaints, prepare and file responses, maintain complaint logs

Conduct compliance review for large annuity cases, perform suitability and enhanced underwriting review; review policy contract exception requests, file company responses and maintain review logs

Review of product forms, administration forms, company guides, and manage updates to training materials in response to regulatory changes and carrier updates

Review agent contracting and licensing, agent appointments, renewals and terminations, improve and maintain agent contracting/appointment reporting

Assist in preparing various reports for senior management and regulatory bodies

Participate in the improvement of compliance procedures and operational enhancements

Collaborate with operations team to identify and implement process improvements