Compliance and Regulatory Specialist

1 week ago

New York, New York, United States World Insurance Associates LLC Full time

Job Summary

We are seeking a highly skilled Compliance and Regulatory Specialist to join our team at World Insurance Associates LLC. This role will support the Compliance and Legal department in regulatory, compliance, and operational matters. The ideal candidate will have a strong background in regulatory compliance, excellent analytical and problem-solving skills, and the ability to work well in a fast-paced environment.

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

1-4 years experience as an Attorney or Senior Paralegal

Regulatory/Insurance Experience

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

Physical Demands

Office work involves 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.

Compensation

This position is located in New York. The base salary for this position at the time of this posting may range from $110,000 to $135,000. Individual compensation varies based on job-related factors, including business needs, experience, level of responsibility, and qualifications. We offer a competitive benefits package and variable pay programs, please visit https://www.worldinsurance.com/careers for more details.

Equal Employment Opportunity

At World Insurance Associates (WIA), we celebrate and support our differences. We know employing a team rich in diverse thoughts, experiences, and opinions allows our employees, our products, and our community to flourish. WIA is honored to be an equal opportunity workplace. We are dedicated to equal employment opportunities regardless of race, color, ancestry, religion, sex, national origin, age, citizenship, marital status, disability, gender identity, sexual orientation, or Veteran status. In addition, WIA makes reasonable accommodations to known physical or mental limitations of an otherwise qualified applicant or employee with a disability, unless the accommodation would impose an undue hardship on the operation of our business.

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