Compliance Specialist

Role Overview

• Assist in coordinating and completing tasks within the organization’s compliance programs.
• Help schedule internal audits, monitoring activities, and follow up tasks.
• Support preparation of compliance reports, metrics, and documentation for leadership.
• Coordinate with cross functional teams to gather information related to compliance activities.
• Help prepare materials and logistics for compliance related leadership or committee meetings.
• Monitor regulatory updates and summarize relevant information as needed.
• Assist on special projects and initiatives.
• Assist with maintaining and updating compliance policies, procedures, and related documentation.
• Track policy review schedules and support communication of updates to staff.
• Help maintain organized governance records, including policy archives and version control.
• Provide administrative and research support to the Compliance and Legal teams.
• Assist with preparing regulatory filings, certifications, disclosures, and required documentation.
• Ensure relevant documents are in compliance with established guidelines and standards.
• Support documentation and records for internal investigations, audits, and follow up actions.
• Track deadlines for regulatory registrations, certifications, licenses, and renewals.
• Help prepare, submit, and organize documentation for filings.
• Maintain accurate and audit ready records related to registrations and certifications.
• Assist Legal with tracking contract review requests and routing documents for approval.
• Help monitor contract related compliance requirements.
• Maintain organized files and documentation for contract records.
• Assist in gathering data for risk assessments and audits.
• Help track risk mitigation activities, corrective actions, and follow up tasks.
• Support the administration of the organization’s business insurance program by tracking renewal dates, organizing policy documents, and coordinating communication with brokers or carriers.
• Help prepare documentation related to risk reporting and insurance claims.
• Research, develop, and recommend strategic advice to ensure companies align with all applicable laws and regulations.
• Other duties as assigned.

Requirements

• Bachelor's degree in Business Administration, Law, Finance, or related field; or at least four years of administrative experience in a business setting preferred.
• 3-6 years of general Compliance or Legal desired.
• Must be able to pass a background check.
• Excellent time management, organization, and communication skills.
• Excellent analytical and problem-solving abilities.
• Excellent attention to detail and accuracy.
• High level of judgment, integrity, and confidentiality.
• Strong written communication skills for reports, summaries, and policy updates.
• Strong ability to work independently.
• Strong understanding of compliance concepts, regulatory requirements, and internal controls.
• Proficient in MS Office, Word, Outlook, PowerPoint, and Excel.

Benefits

• Medical, Dental and Vision Insurance
• Wellness Program
• Flexible Spending Accounts (Healthcare, Dependent Care, Commuter)
• Short-Term and Long-Term Disability options
• Basic Life and AD&D Insurance (Company Provided)
• Voluntary Life and AD&D options
• 401(k) Retirement Savings Plan with matching after one year
• Paid Time Off