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Mgr Operations Audit Services

Pacific Life Insurance Company Newport Beach, CA
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Job Description

Mgr Operations Audit Services

The RSD Operations Audit Services team is responsible for a wide spectrum of operational risk-management controls and functions supporting legal, compliance, audit and regulatory requirements as enforced by SEC, FINRA, IRS and DOI regulators, across both retail and institutional lines of business.   Conducted through FINRA-licensed staff, external audit functions include escalated case analysis and facilitation of resolution outcomes with divisional stakeholders; external audit review, implementation of process updates, production issue analysis of cases conflicting with contract provisions, review of potentially fraudulent activities, and coordination of legal, compliance and risk management reviews and changes.  Through service excellence and effective risk mitigation, this unique team is viewed as a cornerstone differentiator in why clients choose to conduct and retain their business through Pacific Life. 
 
Reporting to the OAS Director, the RSD Operations OAS Manager is responsible for ensuring daily work objectives and departmental initiatives are met.  Oversees the training, skill development and performance of all department staff.  Leads successful outcomes from team, delivering both a stellar customer and employee experience.  Ensures adherence to controls that minimize fraud and operational risk exposure. Supports decision making on a variety of functions related to escalated customer issues, state/federal audits, system logic alignment with contract provisions, etc.   Responsibilities fall within the following core areas:  
 
Team Culture and Morale
 
  • Staff Development and Performance Management
  • Demonstrated Knowledge and Ability to Guide Departments Productivity, Service Standards, and Support Functions
  • Personnel Recruitment, Interviewing and Hiring
  • Department Initiatives
  • Self-Development
5+ years of management experience (or demonstrated progressive leadership experience) within the financial services industry, preferably within an Operations and Compliance environment.   Experience to include:
 
  • Demonstrated drive and ability to motivate, develop, and direct staff to meet core departmental objectives around accuracy, speed, service quality, professionalism, and skill building.
  • Demonstrates strong knowledge of annuity products and systems utilized to support those products.  Experience with risk management oversight, and state and federal annuity regulations as they pertain to annuity and mutual fund administration is highly desirable.   
  • Ability to maintain strong organizational skills in a high-volume, fast paced environment under tight deadlines.
  • Strong critical thinking and judgement skills are critical to position.
  • Strong ability to plan, lead and implement successful project outcomes with a varying level of stakeholders.  
  • Excellent communication skills and ability to deal successfully with a variety of internal and external customers.
Series 6 required.  Series 26 preferred.  








Job Details

Date Posted November 9, 2019
Date Closes December 9, 2019
Requisition 710522
Located In Newport beach, CA
SOC Category 00-0000.00
Location