What are the responsibilities and job description for the COMPLIANCE FILING SPECIALIST position at Cadence Innovations Group?
We are seeking a detail-oriented and proactive Compliance Filing Specialist to manage the preparation, submission, and tracking of regulatory filings. This role ensures timely and accurate handling of contract filings through systems like SERFF and F&I Sentinel. The ideal candidate is highly organized, process-driven, and comfortable working in a compliance-heavy environment.
Key Responsibilities
Filing Preparation & Submission
- Manage end-to-end contract filing processes, including through SERFF and F&I Sentinel platforms
- Assist with filing vehicle service contracts and related compliance documentation
- Track submission statuses and respond promptly to regulator objections or requests
- Maintain up-to-date timelines and documentation related to filings
- Upload and manage documents in the F&I Sentinel platform
- Stay informed about changes in state filing laws, regulatory updates, and platform/system enhancements
- Collaborate with internal departments to facilitate custom filings
Regulatory Monitoring
- Proactively identify upcoming compliance requirements or changes that could impact filings
- Monitor discrepancies and flag potential issues early to prevent delays or rejections
Documentation & Recordkeeping
- Prepare and maintain detailed tracking tables and spreadsheets (Excel)
- Organize and archive filings, approvals, and related documentation
Required Skills & Traits
- Detail-Oriented: Spot and correct errors before submission; ensure accuracy in tracking
- Organized & Process-Driven: Comfort with repeatable workflows and process documentation
- Tech-Savvy: Proficient with digital platforms, document uploads, data entry, and project tracking tools
- Proactive: Anticipate roadblocks and identify issues before they escalate
- Effective Communicator: Clear communication with regulators and internal stakeholders
- Pressure-Resistant: Maintains composure under tight deadlines and revision cycles
- Legal & Compliance Understanding: Familiarity with regulatory language and documentation
- Bonus: Experience with SERFF and/or F&I Sentinel is highly preferred
Qualifications
- Bachelor’s degree or equivalent work experience in legal, compliance, business, or a related field
- 2 years in a regulatory, compliance, or document management role preferred
- Experience with regulatory filings or contract documentation is a plus
