Kurt Bernlohr
Chief Life Compliance Director
- Role
- Chief Life Compliance Director at Amica Insurance
- Location
- Lincoln, RI, US
- LinkedIn followers
- 500 followers
About Kurt Bernlohr
Product Development | Fixed/Indexed/Variable Life Insurance and Annuities | SEC…
Experience
Chief Life Compliance Director
Feb 2024 — Present · Lincoln, RI, US
Responsible for assuring company compliance with applicable state and federal laws, regulations, directives, rulings and court decisions regarding the business of insurance, particularly individual life insurance and annuities. • Assures that the company conducts its business with proper market conduct and disclosure, a sense of fair-play, and integrity, and, that employees are informed on legal and other issues relevant to the company’s business operations and are in compliance with such matters.• Monitor, interpret and disseminate relevant information on applicable insurance laws and regulations. Assure implementation of necessary procedures and compliance with all such regulatory requirements.• Responsible for creating and maintaining compliance testing and internal auditing functions. • Coordinate the compilation, analysis and reporting of Market Conduct Annual Statement (MCAS) data to the NAIC; the managing of state market conduct exams, “desk audits”, and other miscellaneous regulatory requests for company data and business practices information; and the reporting of such data to the appropriate regulatory agencies and to senior management.• Responsible for policy form development and revisions; filing and subsequent revisions of such forms with the IIPRC and state insurance departments, and the maintenance of all such records.• Review all marketing/solicitation advertising materials to assure compliance with state practices, laws and regulations; and as such advise and assist Marketing.• Investigate and provide resolution of formal and informal complaints/inquiries from customers and state regulatory agencies. Oversee the maintenance of the complaint log/file, and report to states and senior management as necessary.• Responsible for appointing and licensing activities for all life sales representatives and internal employees as needed.
Education
Michigan State University
Bachelor of Arts (B.A.)
Capital University Law School
Doctor of Law (J.D.)
Skills
- Legal
- Retirement
- Project Leadership
- Financial Services
- Broker-Dealer
- Regulatory Compliance
- Securities
- Investments
- Executive Leadership
- Insurance
- Annuities
- Mutual Funds
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