William Thompson

Compliance Advisor Associate (Legal Regulatory) @Principal Financial Group

CT, US

Support the ongoing development of Principal\'s comprehensive Workplace Benefits (group benefits) compliance program and lead efforts to provide analysis and guidance on laws, regulations, and complex compliance issues for Principal’s Benefits and Protection business area (Disability, Life, FMLA, Supplemental Health). In addition to regulatory support, I provide internal client support pertaining to: Claims, Filing, Product, Pricing, coverage issues (i.e. dependent coverage), continuation, pre-existing conditions, etc. • Conduct thorough compliance reviews to ensure adherence to regulatory requirements and internal policies• Develop and implement compliance programs, policies, and procedures to maintain a robust compliance environment• Collaborate with cross-functional teams to ensure compliance with applicable laws and regulations• Monitor and analyze regulatory developments to determine their impact on the company and provide guidance to management• Engage in trade association calls and working groups and sub-groups/task-forces (ACLI; LICONY; etc.)• Conduct training sessions and provide guidance to employees on compliance matters• Investigate and resolve compliance issues, implementing corrective actions as necessary• Keep informed about the latest developments in the industry and actively suggest enhancements to current compliance procedures by engaging in numerous working groups and task forces (ACLI; LICONY; etc.)• Assist with internal and external audits, as well as Market Conduct Exams, providing necessary documentation and support (i.e. state departments of insurance)

Suffolk University Law School

Doctor of Law (JD)

Providence College

Sociology