Compliance Analyst

Australian Compliance Institute; Harrisburg, Northern (Dauphin County, KY); Hybrid; USD 60,000 - 90,000; Full time

Job summary

Australian Compliance Institute is seeking a detail-oriented Compliance Associate to support PMA’s regulatory requirements for producers. You will onboard, appoint, and terminate producers in line with internal policies and state regulations, coordinating with finance and other teams.

Responsibilities include maintaining producer records, processing appointments/terminations, generating reports, and educating stakeholders on onboarding processes using Sircon Producer Manager and Excel.

Qualifications

• Associate degree or significant producer compliance experience.
• Proficiency with Word/Excel/Adobe/PowerPoint/SharePoint.
• Familiarity with Sircon producer management system is a plus.
• Excellent organizational and time management skills with strong attention to detail.
• Excellent written and oral communication skills.
• Ability to manage multiple workstreams and competing deadlines independently.
• Resourceful with strong critical thinking and problem solving skills.

Responsibilities

• Onboard, appoint and terminate insurance producers in compliance with policies and regulatory requirements.
• Process Notice of Appointment and Termination of Appointment filings with state regulators.
• Coordinate with internal teams and external producers to gather onboarding information.
• Manage producer onboarding and appointment workflows with timely follow-up.
• Maintain producer records and related databases.
• Educate internal and external stakeholders on onboarding processes.
• Develop understanding of producer management software (Sircon, Excel) and other tools.
• Create reports on producer activity for internal units or regulators.
• Assist with licensing-related regulatory matters and change monitoring.

Skills

Organization

Time management

Attention to detail

Communication

Problem solving

Multitasking

Resourcefulness

Education

Associate degree

Tools

Word

Excel

Adobe

PowerPoint

SharePoint

Sircon

Job description

The purpose of the role is to ensure PMA’s compliance with regulatory requirements regarding PMA’s
key business partners – its producers. The role is responsible for onboarding, appointing and terminating producers in compliance with internal policies and regulatory requirements. Internal reporting to finance and other business functions will help PMA manage its business. Monitoring legal and regulatory. Changes affecting appointment requirements will help PMA stay compliant.

• -Work with PMA’s National Distribution team (and other Old Republic business units supported by PMA) to handle the onboarding of insurance producer business partners (insurance brokers and agents), ensuring compliance with internal policies and practices, as well as applicable regulatory requirements.
• -Process insurance producer Notice of Appointment and Termination of Appointment filings with applicable state insurance regulators.
• -Coordinate with internal team members and external insurance producer personnel to collect information and documents supporting onboarding and appointments.
• -Manage producer onboarding and appointment workflows, facilitating timely follow-up with internal stakeholders and external business partners to ensure requirements are met.
• -Manage multiple workstreams and prioritize as necessary to ensure projects are completed accurately and on time while promoting positive relationships with the Company's insurance producers.
• -Communicate relevant information effectively, including requirements, updates, and timelines, both internally within the Company and externally.
• -Investigate open issues and collaborate with internal team members to identify resolutions.
• -Maintain insurance producer records and related database systems.
• -Maintain and enhance the Company's insurance producer onboarding and appointment processes; educate internal and external stakeholders on those processes.
• -Develop an understanding of the insurance producer management software systems and other technology tools (e.g., Sircon Producer Manager, Excel) used to manage insurance producer appointments and related data.
• -Leverage technology to create reports on insurance producer activity in response to information requests from other business units or regulators.
• -Process invoices for insurance producer appointments; assist Finance and Tax with reporting and allocation of appointment-related fees and costs.
• -Work with attorneys in the Company's Legal department to address legal and regulatory matters pertaining to insurance producers (e.g., licensing and appointments).
• -Monitor legal and regulatory changes affecting producer licensing and appointments.
• -Assist with other insurance licensing requirements.

• -Demonstrate commitment to Company Code of business conduct and ethics, and apply knowledge of compliance policies and procedures, standards and laws applicable to job responsibilities in the performance of work.

• -Associate degree and/or significant producer compliance experience.
• -Proficiency with relevant software applications (Word, Excel, Adobe, PowerPoint, SharePoint), and ability to learn and adapt to new software programs.
• -Familiarity with Sircon producer management system a plus.
• -Excellent organizational and time management skills, and strong attention to detail.
• -Excellent written and oral communication skills.
• -Able to manage multiple workstreams and competing deadlines independently.
• -Resourceful, with strong critical thinking and problem solving skills.