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									Job Description:             Senior Compliance Specialist

Department:                  Compliance
Location:                    Boulder, Colorado
FLSA:                        Exempt
Reports To:                  Compliance Manager
Approved By:                 Director, Human Resources
Revision Date:               May 10, 2006
Effective Date:              April 2006

This position performs complex compliance research and regulatory analysis in order to
monitor regulations and support business operations according to project plan. This
position assesses compliance of underwriting rules, guidelines, procedures, and
programs. This position will oversee projects that are complex and require significant
expertise in insurance and compliance. This position is the Records Manager for the
business unit and is responsible for the management of the business unit’s record
management program.

Regulatory and Legislative Compliance Monitoring, Analysis and Reporting
 Under general direction, assists in the analysis of the company's regulatory
   compliance posture and the development of control recommendations. Consults with
   product management, claims and sales management to keep field abreast of changes.
 Assists with the analysis and interpretation of regulatory compliance requirements
   especially as relates to insurance companies.
 Reviews recent proposed activities by regulatory agencies to determine potential
   impact on company operations.
 Assists Compliance Manager in monitoring and reviewing regulatory and legislative
   changes, preparing company’s response to regulatory changes and following up with
   appropriate areas to ensure required changes are implemented.
 Consults with business groups on strategic compliance initiatives and works with the
   Compliance Manager to provide corporate compliance perspectives and develop
   strategy to reduce any potential compliance exposures.
 Assists Compliance Manager in providing input and representation on key
   compliance initiatives, meetings and committees. Stays abreast of industry and
   compliance trends; recommends and implements changes to internal company
   processes as needed.
Job Description
Senior Compliance Specialist

 Balance compliance need with business and company strategies and create a
  department culture that instills team values and emphasizes empowerment of
 Responsible for answering compliance questions from the field or Corporate offices.
 Researches questions regarding regulations, products and competition. Provides
  recommendations of means to improve compliance controls, conducts analysis and
  creates reports to help improve the compliance of the business.

Market Conduct
Provides a full range of market conduct responsibilities including:
 Assists with the coordination and facilitation of multi-departmental communications,
   task scheduling, and follow up pertaining to Market Conduct Examinations and
   Agency/Carrier audits.

Complaints and Litigation
 Oversees and manages the complaint process including the responses to Department
  of Insurance, Better Business Bureau, and direct consumer complaints with the
  assistance of the Compliance Analyst. Monitors complaints for trends and reports
  them to Compliance Manager.
 Oversees and manages the litigation process with the assistance of the Compliance
  Analyst. Monitors complaints for trends and provides reports as needed to the
  Compliance Manager.

Records Management
 Is the Records Manager for the business unit and is responsible for the management
   of the business unit’s record management program.
 Knowledgeable of current state and federal regulations and legal requirements
   relating to records retention.
 Obtains and maintains company certificates of authority.

Project Management
 Works directly with appropriate ICAT personnel to understand project concept,
   objectives and approach.
 Takes assigned project from original concept through final implementation.
 Defines project scope and objectives.
 Creates and maintains project schedules by developing project plans and
   specifications, estimating time requirements, establishing deadlines, monitoring
   milestone completion, tracking all phases of the project product/service lifecycle,
   providing timely reporting of issues that impact project progress, coordinating
   actions, and resolving conflicts.
 Conducts project meetings.
   - Meets with project team(s) regularly to review project deliverables and deadlines.
   - Meets with appropriate personnel for periodic reviews of prototypes and final

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Job Description
Senior Compliance Specialist

 Provides single point of contact for assigned projects.
  - Coordinates interaction and communication among ICAT personnel.
  - Identifies and coordinates assignments of internal resources and external
     contractors to meet ICAT’s project requirements.
  - Works with appropriate personnel to allocate personnel time to project tasks and
     to track progress of their work.

Other Duties
 Other duties as assigned.

Works under the general supervision of the Compliance Manager and may provide
indirect supervision to exempt and non-exempt personnel.

Job Qualifications
ICAT Core Competencies
Proven success in the following job competencies:
 Analysis and Reporting
 Business Planning and Management
 Communication and Presentation
 Customer Focus and Relationship Building
 Champion for Change
 Influencing
 Information and Technology Proficiency
 Leadership
 Problem Solving and Decision Making
 Technical Industry and/or Profession Expertise

Work Experience
 A minimum of 5 years of related work experience in an insurance company.
 Experience working with the state and federal legal and regulatory agencies.
  Experience in legislative review, analysis and reporting.
 Experience developing and filing policy forms.
 Experience working with wholesale and retail brokers/agencies.
 Deep technical knowledge of insurance products, processes and services. Knowledge
  of underwriting, claims and contracts preferred.
 Experience developing and maintaining underwriting compliance programs and
  procedures preferred.
 Experience working within a legal or compliance-related department (preferably
  within an insurance company).
 Demonstrated history of establishing relationships with State Insurance Department
  personnel and examiners.
 Experience handling corporate licensing and other functions related to the operations
  of an insurance company.

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Job Description
Senior Compliance Specialist

 Strong leadership, project management and relationship management skills.

 BA degree in business or related field preferred.
 Paralegal or law degree preferred.

 Advanced skills in Microsoft Office applications.
 Knowledge of MS Project.
 Proficiency with spreadsheets, database applications and document management
 Proficiency with software, including Nils, Serff, ODEN and internet research.

Working Conditions
Physical Work Demands
 Able to sit and work at a computer keyboard for extended periods of time.
 Able to stoop, kneel, bend at the waist and reach on a daily basis.
 Able to perform general office administrative activities: copying, filing, delivering
   and using the telephone.
 Able to lift up to 25 pounds occasionally.

Mental Work Demands
 Regular and on-time attendance.
 Hours regularly exceed 40 hours per week.
 Occasional travel by conventional means including aircraft, motor vehicle and the
  like within the region and to other locations as required.

Note: To perform this job successfully, an individual must be able to perform each
essential duty satisfactorily. The requirements listed above are representative of the
knowledge, skill, and/or ability required and are not intended to be an exhaustive list of
all duties, responsibilities or qualifications associated with this job.

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