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Senior Compliance Analyst

Date Posted: Dec 15, 2017

Location: Bridgewater, NJ, US, 08807

Company: MetLife

Job Location: United States : New Jersey : Bridgewater  

 

Role Value Proposition: 

This position is an Individual Contributor role in MetLife’s U.S. Business Compliance organization Operations team specifically responsible for executing the Compliance review functions for gift & entertainment, employee disclosures, customer complaints, and employee and broker due diligence reviews for the U.S. businesses and supporting groups.  The individual will be required to collect, analyze, review, and/or approval or decline various compliance-related data, information, and disclosures consistent with Company policies and regulatory requirements and escalate potential issues to appropriate U.S. Business Compliance management, and to communicate these outcomes to business management and associates as required. 

 

In Legal Affairs, we strive to attract, develop and retain diverse talent with the potential to be future leaders of our department and of MetLife as a whole. We seek legal and compliance professionals who demonstrate high intellectual capacity to understand complex matters facing our company, combined with strong leadership competencies to motivate and inspire higher performance by all our professionals. We take an active role in developing the skills of our talent and guiding their professional growth. By promoting skill development and career advancement for our professionals we are better positioned to serve our internal business partners and to help achieve MetLife’s vision of becoming a world-class leader in the insurance, retirement savings and employee benefits industries.

 

    

Key Responsibilities:  

  • Monitors gift & entertainment disclosures for compliance with regulatory and Company requirements.  Identifies potential discrepancies with regulatory or Company guidelines, resolves the issue with business management or escalates to U.S. Business Compliance management as needed.
  • Reviews and approves (or declines) gift & entertainment submissions from associates that require pre-approval by Compliance or escalates to U.S. Business Compliance management as needed.  The number and complexity of the submissions reviewed will increase with experience. 
  • Reviews and approves (or declines) associate disclosures, including outside business activities, personal trading accounts, personal securities transactions, and political contributions for compliance with regulatory and Company guidelines or escalates to U.S. Business Compliance management as needed.  Educates business management and associates, as needed, on regulatory and Company guidelines, policies, and procedures.
  • Educates business management and associates, as needed, on regulatory and Company guidelines, policies, and procedures.
  • Participates in the development of U.S. Business Compliance gift & entertainment and employee disclosure review procedures and workflow system processes.
  • Monitors customer complaint time service and root-cause trending.  Identifies potential discrepancies with regulatory time service requirements, resolves the issue with business management or escalates to U.S. Business Compliance management as needed. 
  • Administers the askcompliance@metlife.com email box.  Responds to and resolves inquiries received, or refers to the appropriate U.S. Business Compliance resource for resolution.
  • Reviews administrative associate and producer due diligence review escalations, and approves submissions per Compliance guidelines or escalates to appropriate U.S. Compliance Business management.
  • Participates in the development of U.S. Business Compliance due diligence review procedures and workflow system processes.
  • Performs data entry in the Compliance Risk Management Program system for new laws and regulations, compliance risks, and business controls for assigned lines of business.
  • Enters new laws and regulations for the P&C business into ACTS.
  • Performs other assigned duties as required.
  • There are no management responsibilities.

 

Essential Business Experience and Technical Skills:

 

  • FINRA Series 6 (or within 1 year of hire)
  • Bachelor’s degree or equivalent
  • 2 – 5 years’ work experience with at least 2-years’ experience in the insurance, securities, or customer servicing role.
  • Ability to research independently and work collaboratively
  • Strong analytical, problem solving, technical and functional expertise
  • Communicates effectively with the ability to adapt communication styles appropriately for the program or audience
  • Solid knowledge of MetLife U.S. business operations, products and services.
  • Strong working knowledge of data gathering, data analysis, and compliance review and approval/decline decision processes.
  • Strong working knowledge of Compliance processes, and the relevant U.S. business Company policies and regulatory requirements.
  • This is not a management development position.

 

Salary Grade

10M 

 

Travel

n/a

 

Business Category

Legal Affairs/U.S. Business Compliance

 

Number of Openings

2

 

At MetLife, we’re leading the global transformation of an industry we’ve long defined. United in purpose, diverse in perspective, we’re dedicated to making a difference in the lives of our customers.” 

 

 

MetLife is a proud equal opportunity/affirmative action employer committed to attracting, retaining, and maximizing the performance of a diverse and inclusive workforce. It is MetLife's policy to ensure equal employment opportunity without discrimination or harassment based on race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, age, disability, national origin, marital or domestic/civil partnership status, genetic information, citizenship status, uniformed service member or veteran status, or any other characteristic protected by law.

MetLife maintains a drug-free workplace.

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