Compliance Specialist

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Compliance Specialist
Duties: Participates in the administration and oversight of compliance programs for all jurisdictions and product lines written by CopperPoint. Works with the CCO, VP Compliance, and Compliance Oversight Committee to assist CopperPoint departments to develop and implement compliance programs that include: identification of applicable regulatory requirements, creating control plans to ensure compliance, monitoring for changes to requirements, identifying areas of non-compliance and implementing and tracking actions to restore compliance. Assists in coordinating and administering licenses held by the CopperPoint group and in making required filings to maintain those licenses with state insurance departments, secretaries of state, corporation commissions, etc. Coordinates and maintains a log of responses to regulatory matters and/or inquiries from regulators, Better Business Bureau. Works with attorneys and Compliance Manager to research, document, communicate and track compliance-related legal and regulatory changes and information arising from bulletins and other information issued by regulatory and non-regulatory authorities (including PCI, NAMIC, NAIC, NCCI, ISO, and AAIS) affecting lines of business written by CopperPoint and follows up to ensure implementation of necessary changes. Assists in reviewing new and revised insurance products, policies, and other required forms to ensure compliance with state regulatory and statutory requirements and in making required filings. Assists in coordinating regulatory examinations and audits (i.e. financial exams, market conduct exams) and responses to data calls and surveys. Manages regulatory/compliance software as needed. Manages contract flow process from request receipt, scheduling contract reviews, managing drafts, verifying agreed-upon edits in drafts have been completed, and transmitting drafts. Track signatures on contracts and other legal documents under the supervision of the Contracts Team. Helps develop and maintain agreement templates and key term checklists used to review and revise contracts, and maintain contracts playbooks with current legal standards. Perform other compliance, legal and administrative tasks. Supports the Compliance Committee, ad-hoc and special projects. Helps to develop, implement and continually improve processes and procedures. Prepares reports and metrics for the compliance/contracts team, as needed.

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