Compliance Analyst

Oliver James Associates Ltd.; Dallas (TX); On-site; USD 85,000 - 105,000; Full time

Job summary

Oliver James Associates Ltd. is seeking a Compliance Analyst II to join its team. The role covers state filings, regulatory research, complaints and investigations, and product administration.

The candidate should bring insurance industry knowledge and the ability to manage multiple priorities while supporting senior leadership and junior staff. The position involves reviewing advertising materials, assisting with regulatory exams, and coordinating with cross-functional teams to ensure

Qualifications

• 5+ years of insurance compliance or legal experience.

Responsibilities

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

Skills

Insurance compliance

Regulatory research

Independent work

Team collaboration

Documentation skills

Communication skills

Project management

Regulatory interpretation

Designation preferred

Education

Insurance designation (preferred)

Tools

SERFF

NAIC

I-File

State regulatory systems

Job description

Compliance Analyst II

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 escalated complex matters appropriately.