Compliance Manager

Alliant Insurance is hiring a Compliance Manager for our Senior Market Sales office in Omaha, NE!

POSITION HIGHLIGHTS

• Full-time, Benefits-eligible
• Hybrid working 3 days onsite, 2 days remote
• Office located 8420 W Dodge Rd Omaha, NE
• Monday - Thursday 7:30 AM - 4:30 PM, Fridays 7:30 AM - 2:00 PM
  
  

Summary

Responsible for assisting in the oversight and management of the Compliance operations. Provides direct oversight of the quality assurance and training provided to business units, downline call centers, and acquired partners to ensure compliant enrollment. Provides support and guidance to ensure the Company's operations are conducted in an ethical and compliant manner.

Essential Duties And Responsibilities

• Compliance Department Administration: Work with the Compliance Officer to administer and improve the Company’s Compliance Program including responses to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures;
• Developing and maintaining a system for uniform handling of such violations;
• Recommending disciplinary actions in response to violations and complaints as appropriate
• Proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required;
• Statutory and regulatory monitoring and communication of updates throughout the Company and its downstream agents;
• And the development and oversight of an effective compliance training program for the Company and its downstream agents, which includes appropriate training for new employees as well as ongoing training for all employees.
• Partner with the Compliance Officer to monitor and coordinate the compliance activities of all business units, downline call centers and acquired partners, which includes tracking and reporting of key compliance metrics.
• Responsible for overseeing the recording, updating and maintenance of company’s compliance training, processes, procedures and recordkeeping requirements.
• Coordinate, record, maintain and monitor compliance records, reports and analysis ensuring that all data records are complete, accurate to ensure compliance with applicable federal and state laws and regulations;
• Prepare and submit designated state and federally-mandated filings;
• Act as a liaison and manage internal and external audits;
• And working with other departments on designated compliance matters.
• Identify potential areas of compliance vulnerability and risk;
• Assist with development and implementation of corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
• Manage the review of agent-created advertisements, social media and websites;
• Directly provide guidance to internal and external parties.
• Personnel Management/Supervision: Direct supervision of Quality Team Lead and other designated employees;
• Supervisory responsibilities include: hiring/terminating, disciplinary actions, assigning/checking work, plan/appraise job performance measurements, performance reviews, compensation recommendations, new hire orientation and training;
• Provide policy and operational leadership.
• Leadership and General Management: Establish, oversee and/or participate with annual goal setting;
• Monitor performance against goals;
• Adhere to budget guidelines and approved annual marketing or business unit plans.
• Presentations at appropriate meetings to include ongoing initiatives as well as future plans to be implemented, accurate reporting, reviewing objectives, reviewing progress, identifying needs or areas for improvement and action plans for correction.
• Establish or oversee the development, maintenance and monitoring of desk manuals, Standard Practice Bulletins (SPBs) and KRA's.
• Work collaboratively with fellow senior staff to advance the values and mission of the Company by participating in and attending appropriate management and administration meetings;
• And provide strategic, policy and operational leadership.
• Special Projects: Work collaboratively with fellow staff to advance the values and mission of Senior Market Sales by serving on relevant internal and external committees;
• Assists with special projects/assignments as requested by members of management.
• Perform all duties in accordance with all company policies and procedures, and all federal, state and local laws, wherein the Company operates.
• Performs other duties as assigned.
  
  

Qualifications

EDUCATION / EXPERIENCE

Bachelor's Degree in Business or a related field, or an equivalent combination of education and experience.

Four (4) or more years of compliance experience

Two (2) or more years of managerial experience, supervising employees and workflow processes

Insurance industry or related field (financial services and marketing) experience preferred

Carrier certification with Ma/PDP carrier preferred

Skills

Working knowledge of federal, state and local laws, as well as industry regulations.

Knowledge of the general industry procedures, practices and terminology.

Knowledge of budgeting and financial management principles and procedures.

Knowledge of program and project management including outcomes, quality assurance, and satisfaction measurement and interpretation.

Knowledge of supervisory techniques to accomplish instruction, motivation and training of personnel.

Skill in working effectively with inbound and outbound callers/customers.

Skill in negotiating and problem-solving to resolve internal and external conflicts.

Skill in the use of time management, organizational leadership and supervisory skills.

Skill in maintaining effective working relationships with all customers, employees and the general public.

Proficient computer skills (Microsoft/Word, Excel, PowerPoint, Adobe Acrobat, MS Outlook software preferred).

Ability to research and interpret Federal and State rules and regulations.

Ability to approach and communicate with a wide range of personalities in a professional and courteous manner.

Ability to maintain a high level of organization and attention to detail while remaining flexible and responsive when faced with multiple urgent requests.

Ability to read, write and communicate English effectively.

Ability to maintain all company policies, including all confidentiality and safety policies.

Ability to work independently, exercise independent judgment, make and execute decisions.

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