Senior Compliance Associate – Corporate Compliance
| Company | AAA Club Alliance |
|---|---|
| Location | New Mexico, USA, Washington, USA, Kansas, USA, Pennsylvania, USA, Oregon, USA, Delaware, USA, Iowa, USA, California, USA, Washington, DC, USA, Texas, USA, Montana, USA, Jackson Township, NJ, USA, Florida, USA, Waterbury, CT, USA, Nevada, USA, South Carolina, USA, South Dakota, USA, Georgia, USA, Arizona, USA, Concord, NH, USA, Mississippi, USA, Tennessee, USA, Virginia, USA, Arkansas, USA, Minnesota, USA, Colorado, USA, Rhode Island, USA, Utah, USA, Kentucky, USA, West Virginia, USA, New York, NY, USA, Maryland, USA, Wisconsin, USA, Maine, USA, Massachusetts, USA, North Carolina, USA, Oklahoma, USA, Missouri, USA, Indiana, USA, Louisiana, USA, Michigan, USA, Illinois, USA, Alabama, USA, Idaho, USA |
| Salary | $110000 – $123000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Expert or higher |
Requirements
- 4-year degree or combination of education and equivalent relevant experience.
- 10+ years of experience in compliance consulting in the insurance industry or other regulated industry, preferably in an in house corporate compliance/ethics function.
- Strong understanding of property & casualty insurance business; of relevant regulatory issues, of professional or industry substantive codes, and of federal and state laws and regulations.
- Working knowledge of legal and regulatory compliance concepts.
- Detail oriented and able to evaluate statements made in materials for their accuracy and appropriateness.
- Ability to look at an issue from a variety of perspectives and evaluate risk based on those perspectives.
- Demonstrated ability and desire to negotiate, influence and motivate others who are not in a direct reporting relationship.
- Strong business analytical skills with aptitude for business data analysis, manipulation, and interpretation to effectively identify problems and develop solutions, draw causal connections, and identify compliance risk indicators and trends.
- Ability to design and execute high-impact visual presentations for various audiences including senior level business leaders, using superior analytical and data interpretation skills to convey key points through illustration or information graphics.
- Comfort with ambiguity and with creating and developing new processes and innovative ways to analyze data to assess compliance with laws and regulations.
- Tech savvy, with experience using various technology applications in a corporate environment to identify and solve business problems.
- Strong time, planning, organizational and project management skills with demonstrated ability to manage multiple tasks and projects simultaneously and to prioritize assignments accordingly.
- Ability to work independently with minimal supervision, self-motivated to drive initiatives to completion.
- Demonstrated record of initiative and adaptability, and a passion for real-time problem solving.
- Strong written and oral communication and interpersonal skills to communicate effectively with management and peers.
- Demonstrated record of consistent strong performance.
- Proficiency in Microsoft Office applications, including Word, Project, Visio, SharePoint, Excel.
Responsibilities
- Plan and execute the compliance training schedule in collaboration with liaisons across the enterprise.
- Ensure that all compliance training content and materials are up-to-date and include all relevant regulatory requirements into the training programs.
- Maintain and support relationships with compliance training vendors by setting clear expectations, communicating consistently, and reviewing performance regularly.
- Manage the consumer complaint process by engaging with complaint teams to collect and analyze both quantitative and qualitative data.
- Maintain an official record of all consumer complaints and provide the collected data to key partners.
- Research and present on key issues/trends that are driving the complaint numbers.
- Support the Records Management Program by ensuring the Record Retention Schedule is regularly updated to reflect current regulatory requirements and organizational needs.
- Ensure record coordinator representation from all departments in the enterprise.
- Assist with annual training of record coordinators to keep them informed about any changes and to reinforce best practices.
- Assist with the deployment and analysis of employee surveys, including the enterprise ethics survey and employee disclosure certifications.
- Analyze the data for trends and insights and reporting the findings to relevant stakeholders.
- Handle general ethics and compliance tasks by monitoring and redirecting or responding to employee questions, assisting with communication planning, and supporting the Ethics and Compliance SharePoint site.
- Monitor and escalate any instances of employee non-compliance to the appropriate parties.
- Provide compliance-related guidance to the business by evaluating and recommending solutions to business compliance problems, ensuring alignment with risk objectives, and monitoring action plans to remediate compliance issues.
- Analyze, monitor, and interpret compliance-related data/metrics to identify significant issues, trends, root causes, and improvement opportunities in compliance risk areas.
- Prepare reports and presentation materials on key compliance metrics and various compliance and ethics matters for various audiences, including senior management, the compliance committee, and the audit committee of the board.
- Track compliance issues and enhance monitoring by developing robust systems, using strong analytical skills, continuously evaluating, and improving monitoring, building strong relationships with cross-divisional partners, leveraging technology, and maintaining accurate documentation.
Preferred Qualifications
- Experience in managing training programs and vendor relationships.
- Familiarity with records management and consumer complaint processes.
- Working knowledge of business ethics program concepts, Federal Sentencing Guidelines principles, U.S. Department of Justice guidance.
- Certification as a compliance professional, and/or other relevant insurance industry designations (ERM, privacy, cybersecurity, P&C insurance, HR, etc.).
- Proficiency in business process and workflow documentation, such as BlueWorks.
- Actively shapes our company culture (e.g., participating in employee resource groups, volunteering, etc.).
- Lives into cultural norms (e.g., willing to have cameras when it matters: helping onboard new team members, building relationships, etc.).
- Travels as needed for role, including divisional / team meetings and other in-person meetings.
- Fulfills business needs, which may include investing extra time, helping other teams, etc.