Compliance Analyst

Compliance Analyst

We are seeking a talented Compliance Analyst to join our dynamic compliance and risk management team at a nationally recognized, independent insurance agency. This is an exciting opportunity to contribute to enterprise risk management and regulatory compliance in a fast-paced, growing organization serving the personal lines insurance market.

Position Overview

The Compliance Analyst will serve as a critical bridge between internal audit functions, IT/IS controls, regulatory requirements, accounting operations, and business strategy. This role requires a versatile professional capable of conducting independent analysis, presenting findings to senior leadership, and implementing systems improvements while maintaining the highest standards of regulatory compliance.

Key Responsibilities

• Perform internal and IS audit functions, assessing control environments and operational effectiveness
• Conduct root cause analysis investigations and present findings independently to management
• Research, analyze, and interpret regulatory requirements and industry best practices
• Draft and maintain policies, procedures, and compliance documentation
• Design and implement system improvements and risk mitigation strategies
• Prepare comprehensive presentations and reports for executive-level audiences
• Support enterprise risk management initiatives and compliance testing
• Leverage data analytics and regulatory reporting tools to identify trends and anomalies

Cross-Functional Collaboration

• This role interacts regularly with leaders and team members across the organization, including:
• Sales, Service, and Operations teams on compliance in customer-facing and operational processes
• Legal and General Counsel's office on regulatory matters and legal strategy
• Partnerships team on third-party compliance and vendor management
• Strategic Initiatives on compliance implications of business transformation projects
• Finance and FP&A on financial controls, accounting compliance, and resource allocation
• Learning and Development on compliance training and awareness programs

Insurance Regulatory Environment

• This position operates within the complex, multi-state regulatory framework governing personal lines insurance. Key focus areas include:
• State-by-state regulatory requirements and compliance obligations across all jurisdictions where the agency operates
• Insurance department examination processes and regulatory readiness
• Errors and omissions (E&O) risk management and mitigation strategies

Required Skills & Experience

• Professional Experience: 3-7 years of professional experience in internal audit, IT/IS audit, accounting, compliance, or related regulatory functions

Core Competencies:

• Strong analytical and problem-solving abilities with proficiency in quantitative and qualitative analysis
• Advanced data analytics capabilities; experience with Excel modeling and statistical analysis
• Excellent written communication skills with the ability to translate complex concepts into clear documentation
• Strong presentation skills and ability to communicate findings to diverse audiences
• Independent judgment and ability to conduct research and analysis with minimal supervision
• Business consulting mindset with ability to identify process improvements and innovation opportunities
• Knowledge of internal audit, IT/IS audit, and legal/regulatory analysis frameworks
• Ability to work independently and collaboratively across organizational functions

Preferred Qualifications

• Familiarity or active interest in enterprise risk management (ERM) frameworks and practices
• Advanced data analytics capabilities; experience with Excel modeling, SQL, statistical analysis, and data visualization, including Snowflake, Power BI and/or Salesforce reporting and analytics tools
• Knowledge of or interest in artificial intelligence applications, including AI governance and risk considerations
• Understanding of data privacy regulations and consumer protection requirements
• Insurance industry experience, particularly in personal lines operations
• Relevant certifications (CIA, CISA, CPA, or similar) or willingness to pursue certification

About Our Company

We are a nationally recognized, publicly traded independent insurance agency specializing in personal lines insurance. Our mission is to provide exceptional service while maintaining the highest standards of compliance, integrity, and operational excellence. We are committed to innovation and leveraging technology to serve our customers and stakeholders.