Senior Compliance Specialist
4 weeks ago
Job Summary:
We are seeking a highly skilled Senior Compliance Specialist to join our Compliance and Legal department at World Insurance Associates, LLC. As a key member of our team, you will be responsible for coordinating numerous learning management systems, databases, and tracking systems. Your primary focus will be on supporting the Compliance and Legal department in regulatory, compliance, and operational matters.
Key Responsibilities:
* Assist the Head of Compliance/Deputy General Counsel on company regulatory, compliance, and operational matters
* Manage projects with external vendors and HR to configure and track employee trainings on compliance learning programs
* Responsible for Regulatory Tracker and related matter management system - uploading matters, key documents, and managing docketing system
* Research, track, and draft regulatory responses and oversee audits and inquiries
* Research and develop regulatory compliance checklists and workflows for licensing, surplus lines, fee agreements, and other compliance matters
* Develop report templates and track KPIs regarding regulatory incidents
* Direct liaison to business units for general legal support and regulatory advice
* Development and maintenance of record retention program and associated training
* Perform necessary research for legal matters and initiatives
* Coordinate with external legal counsel as required
Requirements:
* Minimum 2+ years' experience in a commercial, transactional, and regulatory legal setting
* Prior experience providing in-house legal support preferred
* Paralegal certification or equivalent experience required
* Possess a strong working knowledge of Microsoft Office programs (including Word, Excel, PowerPoint, etc.) in addition to IronClad, RegEd, or LRN/Catalyst
* Compliance Learning & Development Programs
* DocuSign
* CMS and Record Retention Database configuration a plus
* Must be able to work well with others and build effective team relationships
* Self-motivated with a high sense of professional ethics and integrity
* Working knowledge of contracts, transactional, and general corporate and business areas
* Must have good research skills
* Excellent communication skills, both oral and written
* Paralegal Undergraduate Program preferred
Work Environment:
This is an office-based position that requires working at a desk most of the time, using a stand-up/sit-down adjustable desk. Exerting up to 10 pounds of force occasionally and/or negligible amount of force frequently to lift, carry, push, pull, or otherwise move objects. Typing, grasping, and repetitive motion typically is required every day, and walking and standing are required occasionally.
Equal Employment Opportunity:
World Insurance Associates, LLC is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to creating an inclusive work environment that values diversity, equity, and inclusion. We do not discriminate on the basis of race, color, ancestry, religion, sex, national origin, age, citizenship, marital status, disability, gender identity, sexual orientation, or Veteran status.
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