Senior Compliance Consultant

Jackson Financial Inc.

Location: Nashville TN, Chicago IL, and Lansing MI

The Senior Compliance Consultant, Jackson Financial Inc. (“JFI”) Compliance, is responsible for the implementation and monitoring of policies and procedures to ensure the Company's compliance with regulatory requirements and corporate compliance initiatives and providing support for JFI’s Compliance Program.

Essential Job Responsibilities

• Perform functions within the core responsibilities of the JFI Compliance program.

• Support a policy coordination function that governs the development, approval and implementation of all policies at JFI and in certain cases, its subsidiaries.

• Assist the Director, JFI Compliance in coordinating linkages among the JFI Compliance function and those functions within its main operating subsidiaries as part of an effort to drive alignment of compliance activities and resources.

• Provide support to the Director of JFI Compliance and the Enterprise Chief Compliance Officer and handle assigned special projects.

• Participate in compliance risk assessment activities and assist with various types of reviews and/or compliance monitoring activities within and across subsidiaries.

• Work with subsidiaries to develop, recommend, and implement enhancements to their compliance programs, including:

• Conduct periodic case studies analyzing regulatory risks presented within current and proposed business activities; and Analyze and disseminate responses to white papers on broader industry and regulatory developments and trends.

• Support the Director, JFI Compliance in managing the relationship between subsidiary and parent company compliance departments, including collaboratively developing and drafting policies and procedures.

• Provide responses to questions and provides guidance to various internal stakeholders.

• Respond to inquiries from internal stakeholders about regulatory requirements.

• Remain current on relevant regulatory matters.

• Manage one or more processes and may manage cross-functional projects; identify relevant connections and areas of opportunity within the broader compliance function.

• Demonstrate superior characteristics in terms of quality work product, dependability, attitude and overall willingness to contribute to team goals.

• Act as a Subject Matter Expert and may train other associates.

• Attend stakeholder meetings and other regular touchpoints with Jackson departments as a liaison of JFI Compliance.

• Supports management in the implementation of the Compliance Program; independently recommends continuous improvement of program in response to industry and regulatory developments and corporate changes.

• Assists with reporting, as required, to department and senior management and board/committees.

• Supports implementation and design of technological improvements to workflow and processes.

• Attends industry meetings and informs Compliance leadership and team of industry best practices.

• Work with subsidiaries to develop, recommend, and implement enhancements to their compliance programs, including:

• Conduct periodic case studies analyzing regulatory risks presented within current and proposed business activities; and Analyze and disseminate responses to white papers on broader industry and regulatory developments and trends.

Other duties

Performs other duties and/or projects as assigned.

• Knowledge, Skills & Abilities

  • Ability to read and interpret rules and regulations applicable to JFI and its subsidiaries, including state and federal regulations.

  • Working knowledge of relevant laws and regulations.

  • Industry and legal and/or compliance experience relating to financial services generally, and, in particular, the operation of compliance programs for variable insurance products, broker dealers, investment advisers, investment companies, and other pooled investment vehicles.

  • Excellent organization and time management skills.

  • Excellent written and verbal communication skills and ability to present information to senior management.

  • Ability to present clearly and persuasively to Senior Management.

  • Ability to establish and maintain effective working relationships with superiors, colleagues, including external contacts.

  • Ability to work independently and make decisions with limited supervision.

  • Strong critical thinking and analysis skills with ability to provide alternative approaches and solutions.

  • Demonstrated flexibility, willingness to embrace change, and adapt to continually evolving environment.

  • Strong knowledge of Microsoft Office tools (Word, Excel, PowerPoint, Access).

  • Ability to work effectively in a team environment.

  • Strong analytical and investigative skills; ability to think critically and problem-solve outside of areas of subject matter expertise.

  • Ability to effectively analyze and resolve problems independently and exhibit good judgment in escalating to management as needed.

  • Ability to use software and information technology to collect, organize, retrieve, maintain and disseminate information.

  • Holds self and others accountable to meet and exceed expectations and to deliver business results.

Education and Experience

Bachelor's Degree or equivalent experience required.

7+ years of experience in a financial services compliance function, compliance-focused consultant or audit practice or equivalent experience required.

Experience with financial services legal and compliance issues, which may include the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities and Exchange Act of 1934, and rules and regulation promulgated thereunder by FINRA, the Department of Labor and other regulatory entities.

Experience with operation of compliance programs within a “three lines of defense” model preferred, including experience in a principles based regulatory regime.