Compliance Specialist


The Compliance Specialist will be responsible for providing advice, guidance and opinions in all areas of regulatory and legal compliance affecting the Companies’ products, policies and procedures.  The Compliance Specialist will support the Companies by researching, analyzing and evaluating state and federal legislation to determine impact on the Companies’ products.  Assist with all areas of compliance including, but not limited to, policy development and filing, responding to complaints, advertising review, coordinating responses to state department of insurance market conduct examinations, privacy training and policy updates. This position can be located in either the Madison, WI, Phoenix, AZ, or NYC offices.


  • Submits state filings through SERFF and outside of SERFF.
  • Oversees and coordinates process for responding to state objections. Oversees needs for extensions, resubmissions, withdrawals with considerations of individual states’ restrictions and deadlines.
  • Participates in the development of products by drafting policy and application language, soliciting feedback and filing the product once approved.
  • Provide continuing guidance on compliance matters.
  • Investigate, respond and take corrective actions as needed for complaints and grievances.
  • Coordinate regulatory compliance efforts by identifying new statutory and regulatory requirements that impact the Companies’ business, preparing interpretive memoranda for internal use and providing internal support as needed.
  • Assist with audits and other business reviews.
  • Coordinate responses to external or regulatory examinations and reports.
  • Maintain awareness of existing and emerging legal and compliance related developments as they relate to the Companies.
  • Reviews product advertising and provides helpful feedback to the Marketing department that ensures compliance with regulatory requirements as well as business practices.
  • Assists in the coordination and responses to Market Conduct and other regulatory examinations.
  • Performs similar job-related duties as assigned.


QUALIFICATIONS/REQUIREMENTS – To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements below are representative of the knowledge, skill, and/or ability required:

  • Excellent oral and written communication.
  • Experience working in a fast-paced, detailed oriented environment.
  • High degree of computer/database literacy.  Strong knowledge of MS Windows and MS Office products.  Ability to quickly learn to use new computer software.
  • Strong attention to detail.
  • Advanced knowledge rate and forms development procedures and compliance with laws, regulations, or standards.
  • Knowledge of life and health insurance products.


  • Two to four years of experience in insurance regulatory compliance and familiarity and understanding of life and health insurance regulations strongly preferred.


The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Fingering:  Picking, pinching, typing or otherwise working primarily with fingers rather than with whole hand or arm, as in handling. Speaking:  Expressing or exchanging ideas by means of spoken word.  Those activities in which require detailed or important spoken instructions must be conveyed to other workers accurately and quickly. Hearing:  Ability to receive detailed information through oral communication with or without correction. Repetitive Motion:  Substantial movement (motions) of the wrist, hands and fingers.


The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Normal office environment with controlled temperature. The noise level in the work environment is usually moderate.

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