Compliance Analyst

Oliver James Group; Dallas (TX); On-site; USD 90,000 - 120,000; Full time

Job summary

Oliver James Group is seeking an experienced Compliance Analyst II to join its insurance compliance team in Dallas. You will manage end-to-end state filings, perform regulatory research, handle complaints and investigations, and support product administration with cross-team collaboration.

You will work with senior leadership to ensure regulatory compliance and provide guidance to junior staff, while maintaining rigorous documentation and process improvements across the organization.

Qualifications

• 5+ years of insurance compliance or legal experience.
• Strong knowledge of insurance regulations and state requirements.
• Hands-on experience with SERFF, NAIC, I-File and state regulatory systems.
• Experience managing form, rate, and informational filings from prep to approval.
• Regulatory research and interpretation skills.
• Experience handling consumer and regulatory complaints and investigations.
• Excellent organization, documentation and project management skills.
• Strong written and verbal communication skills.
• Ability to work independently while collaborating across teams.
• Insurance-related designation preferred.

Responsibilities

• Manage end-to-end state insurance filings, including prep, submission, objections, revisions, and tracking.
• Research and interpret laws, regulations, and regulatory changes impacting products and operations.
• Handle complex consumer and regulatory complaints, including research and response drafting.
• Support regulatory and internal investigations, audits, and regulatory examinations.
• Review advertising and marketing materials for regulatory compliance and documentation.
• Support new product rollouts, form updates, product administration, and regulatory requirements.
• Assist with contract-related compliance matters and third-party requests.
• Support compliance monitoring, filings, and quarterly reporting.
• Maintain accurate compliance records and drive process improvements.

Skills

Insurance compliance

Regulatory knowledge

Regulatory systems

Form filings management

Regulatory research

Complaints handling

PM / Organization

Communication

Teamwork

Education

Insurance designation (preferred)

Tools

SERFF

NAIC

I-File

Job description

Job Summary / Introduction

We are partnering with a leading insurance organization to identify an experienced Compliance Analyst II to join its compliance team. This role will support a broad range of regulatory and compliance activities, including state filings, regulatory research, complaints, investigations, advertising, regulatory exams, and product administration. The ideal candidate will bring strong insurance industry knowledge, hands-on regulatory experience, and the ability to independently manage multiple priorities while partnering with senior leadership and supporting junior team members.

Skills & Experience

• 5+ years of insurance compliance or legal experience, preferably within life insurance.


• Strong knowledge of insurance regulations and state regulatory requirements.


• Hands-on experience with SERFF, NAIC, I-File, and state regulatory systems.


• Experience managing form, rate, and informational filings from preparation through approval.


• Strong regulatory research and interpretation skills.


• Experience handling consumer and regulatory complaints and investigations.


• Excellent organization, documentation, and project management skills.


• Strong written and verbal communication skills.


• Ability to work independently while collaborating effectively across teams.


• Insurance-related designation preferred.

Detailed Job Description

• Manage end-to-end state insurance filings, including preparation, submission, objections, revisions, and tracking.


• Research and interpret laws, regulations, and regulatory changes impacting insurance products and operations.


• Handle complex consumer and regulatory complaints, including research, response drafting, and documentation.


• Support regulatory and internal investigations, audits, and regulatory examinations.


• Review advertising and marketing materials for regulatory compliance and maintain required documentation.


• Support new product rollouts, form updates, product administration, and regulatory requirements.


• Assist with contract-related compliance matters and third-party legal or regulatory requests.


• Support compliance monitoring, holding company filings, suitability activities, and quarterly compliance reporting.


• Maintain accurate compliance records and identify opportunities to improve processes and documentation.


• Provide guidance to junior compliance staff and provide escalation of complex matters appropriately.