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Insurance regulatory compliance services

PwC's team of regulatory professionals has 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 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

The Insurance regulatory compliance practice can also help you with:

Compliance, governance & 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 & 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

Ellen Walsh

Insurance Consulting Solutions Leader, PwC US

Chris Joline

Principal, Financial Services Advisory, Insurance, PwC US

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