Beth Jalbert ACS, AIAA, AIRC, ALMI
Director of Compliance at Dayforward- Claim this Profile
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Bio
Credentials
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Associate, Customer Service (ACS)
Life Office Management Association -
Associate, Insurance Agency Administration (AIAA)
Life Office Management Association -
Associate, Insurance Regulatory Compliance (AIRC)
Life Office Management Association -
Associate, Life Management Institute (ALMI)
Life Office Management Association
Experience
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Dayforward
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United States
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Insurance
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1 - 100 Employee
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Director of Compliance
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Jan 2023 - Present
Registered Supervisory Principal: Series 6 and 26 Licensed I work daily alongside our General Counsel to lead and manage the Legal/Compliance departments. I am in the process of helping to create the Compliance Department. I will be training everyone on all pertinent compliance rules and will be tracking and monitoring all processes. I lead regulation research if there is a question or concern that is raised. I assist in legal interpretation of statutes, laws, proposed/active regulations. I have created, and continue to create 50 state law charts for various topics like anti-rebating rules, replacements, spousal consent, etc. I am the lead on making sure our company and internal/external agents are properly licensed and appointed in each applicable state. I take care of all renewals as well. I review and approve advertisements for our company; website information, facebook, instagram, emails, etc. if there is a compliance question or concern, I am one of the main contacts. I conduct monthly tracking of where people are spending their time and what protects they are working on to make sure we are delegating work among the business efficiently. I take lead on utilizing different systems like Agentsync, NIPR, Lexis Bridger Tool, Drata and Confluence company/operation updating. Show less
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Delaware Life Insurance Company, A Group 1001 Company
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United States
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Insurance
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100 - 200 Employee
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Senior Compliance Consultant
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Feb 2019 - Jan 2023
Registered Supervisory Principal: Series 6 and 26 Licensed Registered Supervisory Principal: Series 6 and 26 Licensed
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Lincoln Financial Group
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United States
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Financial Services
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700 & Above Employee
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Compliance Specialist-Life & Annuity Compliance Legal Department
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Oct 2011 - Feb 2019
*Registered Supervisory Principal: Series 6 and 26 Licensed*Regulation Research-I provide daily Life and Annuity regulation/law research, interpretation and guidance. I utilize Wolters Kluwer/NILS and ACLI. I have also previously utilized LexisNexis and Westlaw.*Advertising/Correspondence Reviewer- I am the main compliance contact for the RegEd Advertising System. I train new users, help answer questions, and assign material to my team to review. I review/approve customer correspondence/letters, advertising pieces, agent information, emails, memos, marketing material, etc. *Forms Compliance Reviewer-I review product forms and provide insight from a Compliance perspective. I am the “owner” of many (over 400) Life and Annuity forms/supplements/riders; any and all changes to these forms need to be coordinated through me.*Regulatory Change Compliance Point Person- I am the main contact for specific compliance related topics; Forms Filing, Senior Protection, Lapse Notices, Required Policy Provisions, Policy Delivery Receipts, Vulnerable Persons, Guaranteed Investment Contracts, Replacement/Regulation 60, etc. I work with several different business units/contacts when I am assigned a new/changing regulation in our CODE (regulatory change system). *Suitability-I conduct suitability reviews on Fixed Annuity, Fixed Indexed Annuity, SPIA, and DIA cases on a daily basis. I determine if a new case is suitable, and in the client’s and Lincoln’s best interest.*50 State Chart Regulation Research-I create/maintain 50 state charts on various compliance related topics. I conduct regulation/law research that is required, as well as updating current charts and noting any changes.*I am one of the main compliance contacts for the Corporate Legal Team and I attend several different weekly/bi-weekly/monthly meetings so that I can provide a “compliance” perspective on the issue at hand. I am considered a “go to” person and mentor on my team. My thoughts and opinions are valued. Show less
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Compliance Analyst/Operational Excellence Analyst; Compliance, New Business Department
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Dec 2007 - Oct 2011
* Analyze processes and support initiatives for quality, continuous improvement, and consistency within and across compliance teams.* Collaborate creative and innovative ideas that colleagues generate, and work with all teams in a partnership and oversight method. Ensure that best practices are shared and consistency is maintained. * Maintain and improve the New Business departmental SOX and 38a1 process and procedures.* Perform multiple procedure audits to ensure quality is being met and maintained, as well as adhering to state guidelines and regulations. * Report findings on a daily, weekly, and monthly basis to superiors.* Mentor to my team as well as other associates in department. Show less
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Business Analyst; New Business Solutions Department
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Jan 2007 - Dec 2007
* Implementing and supporting technology developed by IT for Life, New Business. Applied a standard project management methodology to each project to ensure efficiency and effectiveness.* Established definition requirements for New Business, translating needs to technical specs for IT, ensuring quality through extensive testing.* Bridged gap between New Business and IT in an effort to coordinate IT response and minimize impact to production processing.
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Quality Analyst; Compliance New Business Department
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May 2005 - Jan 2007
* Liaison between Life, New Business and the company’s legal and compliance departments providing research, market conduct support, and risk analysis of New Business processes.* Conducted a variety of procedural audits for the underwriting teams to find training needs and improve overall quality.
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Senior Underwriting Assistant; New Business Department
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Jul 2001 - May 2005
* Worked specifically with high profile cases maintaining and updating files throughout process within defined time frames and productivity standards in the Life, New Business department.* Multi-tasked within scheduled guidelines and handled confidential material. Worked closely with Underwriting team to collaborate on casework to achieve desired goals.
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Education
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New Hampshire Technical Institute
Associate's Degree, General Studies with a Concentration in Business
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