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Supports company compliance with state regulations governing producers and performs routine compliance functions related to contracting, license verification, appointments and adherence to internal policies and procedures. Acts as compliance resource to internal and external business entities related to Producer Lifecycle. In addition, may lead and or support project work and other non-transactional processes. College degree. Typically has 2 - 4 years of compliance/regulatory experience or other relevant work experience.
Maintain positive relationships with internal and external contacts in order to build mutual trust and credibility and to demonstrate commitment to achieving business objectives while ensuring compliance with state laws and regulations.
Able to process high volumes of routine producer onboarding requests and maintenance transactions in accordance with defined procedures and compliance rules.
Respond to voicemails, emails from business partners and or external producers in accordance with defined metrics in a clear, customer focused and professional manner.
Support departmental projects and improvement initiatives as assigned.
Perform non-transactional work as assigned in accordance with defined procedures.
Proactively works with team and management to identify and implement improvements to integrate processes and streamline workflows.
Active engagement with team members and business partners in meetings and training sessions. Contributes ideas, shares knowledge, and asks questions, demonstrating critical thinking skills.
Minimum 2-4 years experience in a compliance department or law firm/legal department with compliance related matters.
Demonstrated ability to learn a substantial amount of information in a short period of time.
Proficiency in computer skills, database management and online searching.
Strong Organizational skills and attention to detail.
Demonstrated strength in customer focused communications.
Ability to successfully handle competing and changing priorities on a continual basis.
Ability to independently handle routine issues.