Job Description:

Our client, an insurance division of a major global corporation, is looking for a Compliance Specialist to join their team.  The right candidate will assist with development and implementation of legal, compliance, and corporate governance policies and procedures.  As directed by Compliance Manager, work with internal and external business partners on legal, compliance and related matters.


To assist with the development and implementation of compliance policies and procedures to achieve general corporate and insurance compliance goals including:

  • Taking into account business and legal priorities;
  • Providing guidance to business partners and implementing compliance policies and procedures;
  • Participating on the Compliance Action Team, as required;
  • Assisting in the development of Compliance Trainings;
  • Analyzing and responding to compliance questions;
  • Recording and investigating alleged non-compliance with laws, regulations, and Company policies for appropriate handling;
  • Assist in conducting compliance audits / monitoring
  • Recording and tracking consumer and insurance department complaints, and preparing and reviewing initial drafts of responses within applicable deadlines;
  • Maintaining and updating Legal/Compliance Department paper and electronic files, including Company contract files.
  • Ensure that documented compliance guidance is in place for internal associates as well as external business partners.
  • Responsible for developing and updating  product manuals for life and health products, as well as, Legal/Compliance Standard Operating Procedures (SOP).
  • In consultation with Legal, research and analyze laws and regulations to provide written guidance to appropriate business units for implementation.
  • Collect and analyze data required for timely reporting to regulatory agencies internally and from outside business partners, and maintain filing calendar to track key dates for regulatory agency reporting.
  • Assist with implementation of key legal and compliance guidance and procedures.


  • Bachelor’s degree, Advanced degree (preferred)
  • Minimum 2 years compliance or regulatory experience, insurance experience preferred
  • Knowledge of legal research engines (e.g., Westlaw)
  • Proficient with Microsoft Office
  • Leadership skills with the ability to energize and coach others
  • People skills including the ability to influence, gain commitment and effectively handle conflict
  • Decision quality
  • Excellent research, interpersonal skills
  • Ability to identify and analyze insurance laws and regulations for application to business operations
  • Ability to identify and effectively manage and resolve compliance issues
  • Excellent verbal and written communication skills
  • Ability to organize and prioritize work

Please send resumes to Heather Johnson – Heather@ComplianceSearch.com

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