Compliance Analyst

At this time, a Compliance Analyst is needed to assist with company licensing, conducting compliance reviews, and filing the company’s consumer forms, helping ensure the company's compliance with applicable federal and state regulations.

• Hybrid Opportunity following training: Required to work at the office 2 days per week at our Lake Forest, CA office location.
• Ideal candidates must have 2 consecutive years' experience within a regulatory compliance or paralegal/legal assistant role.

Schedule: Monday- Friday: 8:00 am- 5:00 pm PST.

Compensation: $77K - $92K annually, depending on experience. Comprehensive Benefits Package!

Essential Functions:

• Oversee licensing for company, which includes certificates of authority, property and casualty licenses, vehicle service contracts, vehicle protection product provider licenses, and captive insurance. Also assist in maintenance of licenses involving company changes and acquisitions.
• Manage compliance of consumer forms including reviewing forms for compliance utilizing state statutes and checklists, independently research regulatory code to confirm to requirements, file forms with state regulators and lenders, handle objections, manage regulatory and lender form changes, and distribute information regarding use of consumer forms to other internal departments.
• Serve as primary point of contact for incoming regulatory compliance inquiries and issues, escalating such inquiries and issues within the Legal and Compliance Department as necessary to achieve optimal resolution.
• Research and maintain knowledge of federal and state regulations as well as commonly accepted industry practices relating to the company’s products and services. Research and implement all lender approval processes into the organization. Involves understanding of requirements, communication to field, and implementation of procedures for approval.
• Manage organization and issuance of contractual liability insurance policies by insurers.
• Manage projects to completion as assigned by Director of Legal and Compliance. Provide consistent updates to manager on status and expected completion.
• Assist in competitive product reviews and new product development, communicate changes in regulations and industry practices, developments, and changes affecting the company’s existing products and services.
• Issue Resolution - Investigate, analyze, and recommend action on all issues internal and external. Support internal and external clients with immediate attention to resolve issues. Provide ongoing updates on status and resolution.
• Other duties as assigned.

Education and Qualification Requirements:

• Bachelor’s Degree preferred. Associate degree and/or 2-4 years of experience in a regulatory compliance or paralegal/legal assistant role required.
• High proficiency in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.
• Fluency and integrity with handling of confidential and sensitive information.
• Strong time-management and organizational skills with the ability to multi-task, consistently meet deadlines, and prioritize effectively.
• Ability to work independently and exercise sound judgment when escalating issues for review.
• Ability to adapt quickly to change and deliver quality results in a timely manner.
• Work effectively in a remote team environment.

Preferred Requirements:

• Exceptional communication skills, both verbal and written
• Demonstrate ability to use tact and diplomacy when dealing with internal and external parties
• Well organized
• Goal detailed
• Self-motivated
• Ability to work in a team setting
• Notary Public preferred

Work Environment and Physical Requirements:

• Normal office environment.
• Ability to grasp objects such a telephone or computer mouse, finger dexterity to use a keyboard, calculator, and standard office equipment.
• Ability to walk, stand, reach with hands and arms; stoop kneel, crouch, and lift up to 20 pounds.
• Ability to frequently sit for long periods of time.
• Ability to hear and talk, both in person and by phone.
• Ability to spend extended hours in front of a computer screen and use close vision, distant vision, and depth perception.