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Jim Marotta
Vice President, Chief Compliance Officer @American National
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WORK HISTORY
Vice President, Chief Compliance Officer @American National
Glenmont, NY, US
Led the consolidation of the corporate compliance function for multiline insurer offering annuity, health, life, property & casualty insurance, and pension risk transfer. • Transformed departmental structure and business practices, resulting in enhanced efficiency and effectiveness.• Focused the team on ensuring compliance programs meet regulatory requirements, while providing value by enabling business leaders to make well-informed, risk-aware decisions.• Led team with as many as 60 compliance professionals responsible for programs such as corporate policy administration, legislative and regulatory change and exam management, complaints, AML/OFAC, conduct and ethics, data and reporting, privacy, suitability, risk management (testing, monitoring, and remediation), training and education, and P&C products compliance and filings.• Chair the company’s compliance & ethics committee, accountable for reporting to operating company boards. • Partner with other assurance functions to align risk management framework with three lines of defense model.• Served as Site Leader for company’s Glenmont, NY location, supporting company culture by ensuring smooth site operations, addressing local needs and regular communication with on and offsite employees and leaders.
EDUCATION
Hobart and William Smith Colleges
Bachelor's degree
Albany Law School of Union University
Doctor of Law (JD)
The College of Saint Rose
Master of Business Administration (MBA)
SKILLS
ABOUT JIM MAROTTA
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