Insurance regulatory compliance services

PwC's team of regulatory professionals

We have extensive experience working with leading life and annuity, health, and property & casualty insurers. This gives us the ability to assist you with the assessment, design, and enhancement of your compliance program and other regulatory compliance needs.

Our insurance regulatory services

Regulatory compliance

With the regulatory environment continuously changing as regulations are amended and adopted, we have a framework to deal with regulatory changes as they arise and affect our clients. Some examples of these service offerings are below:

  • Program design and development
  • Policy and procedure design and development
  • Compliance control effectiveness assessments
  • Mock market conduct exams
  • Field inspection outsourcing
  • Regulatory required independent assessments

Examples of key regulatory compliance topics:

  • Sales suitability
  • Equity indexed annuity adoption
  • Supervisory control monitoring and testing
  • Anti-money laundering
  • Replacements
  • Market conduct coordination
  • Preparing for potential federal regulation options

Compliance, governance and organization

  • Compliance cost reduction
  • Compliance organizational effectiveness
  • Compliance risk assessments
  • Compliance measurement and reporting
  • Culture and ethics

Financial reporting compliance

  • Model audit rule
  • Sarbanes AS5
  • IT internal controls
  • Other internal controls work

Operational and technology compliance

  • IT security
  • Business process integration
  • Privacy frameworks
  • Records management
  • GRC technology identification and adoption

Risk management

  • Enterprise Risk Management (ERM)
  • Financial modeling
  • Operational risk
  • S&P rating readiness/preparedness
  • Integrated Governance, Risk, and Compliance (iGRC)

Contact us

Jim Quick

Insurance Leader, Consulting Solutions, PwC US

Follow us