Job Description

Role: Senior Regulatory Compliance Analyst

SummaryThe Regulatory Compliance Analyst supports the Compliance Department by handling process-driven regulatory compliance tasks, maintaining trackers and calendars, organizing documentation, preparing routine materials from templates, and following up on standard compliance items. This role is intended for an experienced, detail-oriented analyst who can reliably execute documented procedures in a regulated environment. The ideal candidate will have 5+ years of experience in U.S. insurance operations, compliance operations, regulatory support, legal support, finance/tax support, or back-office operations in a regulated industry
Key Responsibilities

Recurring compliance task tracking: Maintain compliance calendars, due-date trackers, renewal trackers, filing logs, and recurring task lists based on established procedures.
Documentation and file organization: Save, organize, label, and maintain regulatory correspondence, filings, confirmations, licenses, certificates, receipts, tax documents, and related compliance records.
Filing and renewal support: Assist with routine license, certificate of authority, registration, permit, membership, and other renewal processes by gathering information, preparing standard forms, assembling supporting documents, and tracking submission status.
Template-based preparation: Complete standard forms, checklists, summaries, and filing support materials using approved templates and instructions.
Data gathering and validation: Pull information from internal systems and existing records, verify that required fields and supporting documents are complete, and flag missing or inconsistent information.
Regulatory correspondence support: Track incoming and outgoing correspondence with regulators, state offices, vendors, and other counterparties. Prepare first drafts or administrative responses only where templates or clear instructions are provided.
Follow-up management: Monitor open items, send internal reminders, track responses, and escalate overdue or unclear items to the U.S.-based compliance team.
Complaint and inquiry support: Assist with logging, organizing, and tracking complaints, DOI inquiries, and related materials. Support the preparation of response packages under U.S.-based supervision.
Audit trail maintenance: Ensure compliance records are complete, well-organized, and easy to retrieve for audits, examinations, internal reviews, and management reporting.
Process documentation: Follow SOPs and assist in documenting repetitive compliance processes, checklists, and workflows

Scope and Expectations
This role is primarily execution-oriented and process-driven. The analyst is expected to:

Escalate unclear requirements, exceptions, regulator questions, or judgment-based issues promptly rather than resolving them independently.
Support U.S.-based compliance staff with preparation, tracking, follow-up, and documentation.
Avoid making independent legal or regulatory interpretations unless specifically instructed by the U.S.-based compliance team

Qualifications

Education

Bachelor's degree in business, finance, legal studies, insurance, accounting, or a related field preferred.
Equivalent work experience in insurance, compliance, legal operations, or regulated-industry operations may be considered.

Experience

5+ years of experience in U.S. property and casualty insurance operations, compliance support, regulatory operations, legal support, licensing support, or back-office operations in a regulated industry.
Experience working in a BPO, shared services, insurance carrier, MGA, broker, financial services company, legal support environment, or other regulated operational setting preferred.
Experience maintaining trackers, calendars, logs, document repositories, and recurring process workflows.
Experience preparing forms, checklists, reports, or filing packages from templates.
Prior support of U.S. insurance compliance, licensing, regulatory reporting, or premium tax workflows.
Familiarity with SERFF, state DOI portals, NAIC systems, secretary of state portals, or similar regulatory platforms is preferred but not required

Skills and Competencies

Strong attention to detail and accuracy.
Excellent organization and follow-up skills.
Ability to manage repetitive tasks, recurring deadlines, and multiple open items.
Professional English proficiency: Strong written and verbal business English. Ability to write clear status updates, summaries, and internal follow-ups, and to communicate effectively with U.S.-based staff on calls and in writing.
Ability to follow SOPs, checklists, and templates consistently.
Comfort working with documents, forms, trackers, and structured records.
Ability to recognize when information is missing, inconsistent, or unusual and flag it clearly; resolving such items is not expected in this role.
Reliable escalation habits: Raises unclear or unusual items promptly rather than deciding how to handle them independently.
Proficiency with Microsoft Outlook, Excel, Word, Teams, and shared document repositories.
Experience with compliance trackers, workflow tools, or document management systems is a plus.
High degree of confidentiality and care when handling sensitive company, customer, regulatory, or PII-related information