Compliance Analyst

Oliver James; Dallas (TX); On-site; USD 70,000 - 100,000; Full time

Job summary

Oliver James partners with a leading insurer to identify an experienced Compliance Analyst II to join its compliance team in Dallas. The role covers state filings, regulatory research, complaints, investigations, advertising review, regulatory exams, and product administration.

The ideal candidate has 5+ years in insurance compliance or legal, strong knowledge of regulations, and the ability to manage multiple priorities while partnering with senior leadership and mentoring junior staff.

Qualifications

• 5+ years of insurance compliance or legal experience.
• Strong knowledge of insurance regulations and state filing 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.

Responsibilities

• 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 elevate complex matters appropriately.

Skills

Insurance compliance

Regulatory research

Project management

Communication skills

Independent work

Cross-team collaboration

Regulatory filings

Education

Insurance designation preferred

Tools

SERFF

NAIC

I-File

Job description

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 elevate complex matters appropriately.