Compliance Analyst

Compliance Analyst

• Conduct monthly random file audits for Sales/Implementation/Service to determine that each sampling has performed according to state, carrier and agency documentation/process requirements; and produce monthly reporting to reflect results
• Deliver File review (Quality) results during monthly review meetings. Discuss trends and observations. Provide required steps to bring issues into compliance. Resolve appeals, drive improved process, quality, and best practices
• Monitor licenses of all associates who are required to maintain an insurance license, including management of monthly license audit and all other associated license reporting
• Manage all agency and producer appointments and terminations with carrier partners
• Maintain, deliver, and monitor mandatory internal compliance trainings to all new Insurance associates
• Monitor that all agency related training requirements are met, and produce monthly reporting on associates out of compliance
• Manage at least one department project and participates in various other department projects regarding compliance and/or quality control. Involvement in the development of all compliance systems.
• Advise Sales by answering inquires that focus on compliance issues, primarily around state specific requirements regarding Coverage Bearing concerns (i.e., Owner/Officer exemptions), licensing, appointment, etc.
• Interface with Legal to manage carrier contract amendments
• Interaction with Compliance India - training and acting as backup for tasks, including maintenance of Compliance database in AOS. Act as resource for projects that have been transitioned to India.
• Performs other related duties as assigned

• Bachelor's Degree required or in progress.
• 1-3 years minimum experience with insurance companies
• Licensed in Property and Casualty and/or Health Lines a plus.
• Licensed in Health lines required
• Proficient in Xcel (VLOOKUP, Pivot tables) and basic Xcel formulas and conditional formatting, and Report formatting

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