Summary
Overview
Work History
Skills
Certification
Timeline
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Carrie Bouback

Oregon,IL

Summary

Results-driven Senior Compliance Analyst with extensive regulatory expertise at Pacific Life Insurance Company. Proven track record in enhancing compliance processes and leveraging data for strategic insights. Skilled in documentation review and problem-solving, successfully managing complex filings and improving operational efficiencies. Committed to delivering high-quality compliance solutions that support organizational goals.

Overview

25
25
years of professional experience
1
1
Certification

Work History

Senior Compliance Analyst

Pacific Life Insurance Company
Newport Beach , Remote
05.2024 - Current
  • File advertising materials for all Life and Annuity products
  • Research and evaluate competitor filings to identify potential enhancements, unique features and industry trends. Independently or in collaboration with others, leverage the competitor analysis in the development of applications, supporting forms and products.
  • Perform regulatory analysis in support of primary responsibilities, respond to internal compliance questions and participate in the data gathering and preparation of Market Conduct Exam responses.
  • Independently develop business requirements and file basic to moderately complex product, advertising, and application related forms with regulators.
  • Anticipate internal and external business challenges and recommend process or service improvements in support of primary responsibilities.
  • Support the development of digital solutions to improve the customer experience, streamline or automate certain tasks. This includes automating processes and procedures where possible, identifying and implementing technology solutions to enhance efficiencies within compliance and the organization.
  • Identify, maintain and utilize data to generate insights and support data-driven decision making. This includes its use within the compliance area to support Pacific Life’s strategic initiatives.
  • Manage assigned project work and responsibilities with a moderate level of guidance and direction.

Compliance Analyst II

Pacific Life Insurance Company
Newport Beach, Remote
08.2014 - 04.2024
  • Complete annual regulatory filings for Life and Annuities
  • Review and complete regulatory inquiries from states as well as the Securities Exchange Commission
  • Assist in state departments of insurance (DOI) examinations and inquiries on behalf of the Life Insurance Division
  • Collaborate with state regulators
  • Ensure division compliance by reviewing Registered Representatives emails that are captured in the Proofpoint review system
  • File advertising materials with requested states via state sites and SERFF
  • Work with business areas to gather documentation in order to file Long-Term Care Reports and Accident & Health reports annually with each state
  • Review requests from Corporate Law to include Subpoenas, Levys, and Garnishments
  • Gather, complete, and review Subpoena files on behalf of Corporate Law.

Advertisting Compliance Specialist

Pacific Life Insurance Company
Aliso Viejo, Remote
06.2012 - 08.2014
  • Use technical skills as a subject matter expert (SME) to apply Sales Material Approval process to all sales material submitted by responsible departments
  • Engage in tasks related to the execution of the private placement product compliance process and pre-approval process
  • Assist in gathering documentation regarding advertising compliance with state law as requested.

Administrative Assistant, Compliance

Pacific Life Insurance Company
Aliso Viejo, CA
09.2011 - 06.2012
  • Assist AVP and VP with scheduling.
  • Assist Compliance team with filing preparations.
  • Gather documentation to complete private placement products.

Office Manager, Compliance

Mutual Reinsurance Bureau
Cherry Valley, IL
05.2000 - 06.2011
  • Manage office team of four employees.
  • Gather documentation to create board packages.
  • Plan yearly private events for groups over 100 people at the NAMIC Convention.

Skills

  • Microsoft
  • Compliance monitoring
  • Documentation skills
  • Documentation review
  • Legal research
  • Regulatory expertise
  • Reporting skills
  • Problem-solving
  • Advertising compliance
  • Regulatory compliance

Certification

  • Series 6, Investment Company Products/Variable Contracts Representative, 2015
  • Series 26, Investment Company Products/Variable Principal, 2016
  • FLMI (Fellow Life Management Institute) Level 1 Certificate, 2021

Timeline

Senior Compliance Analyst

Pacific Life Insurance Company
05.2024 - Current

Compliance Analyst II

Pacific Life Insurance Company
08.2014 - 04.2024

Advertisting Compliance Specialist

Pacific Life Insurance Company
06.2012 - 08.2014

Administrative Assistant, Compliance

Pacific Life Insurance Company
09.2011 - 06.2012

Office Manager, Compliance

Mutual Reinsurance Bureau
05.2000 - 06.2011

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Carrie Bouback