Associate Compliance Service Specialist

Job Summary

The Associate Compliance Service Specialist (ACSS) role is unique role that combines compliance functions in addition to servicing functions. This position supports the Compliance Service Specialist Team, and the Regulatory Filing team within the Compliance department to provide greater control and oversight into that function. This role allows for significant improvement in compliance targets and metrics. The role of ACSS is a hybrid role with a highly specialized skill set to bridge the gap between the Servicing Team and the Compliance Team. ACSS role is crucial to the overall success of the organization and will play a key role in supporting the Regulatory Filing team to ensure that compliance deadlines and requirements are met.

Essential Functions / Primary Responsibilities :

• Prepare, send, and collect state specific diligent effort forms and additional state specific forms.
• Manage assigned accounts and handle all aspects of the post binding workflow.
• Maintaining post binding files and uploads into Centralis.
• Reviewing outstanding subjectivity requirements and coordinating collection of outstanding subjectivities.
• Establish and develop solid working relationships with external retail and carrier partners.
• Order policies from the carriers.
• Follow up on outstanding policies and endorsements.
• Setting and following up on suspenses for cross department tasks (i.e. for AAM, AE and AM’s)
• Review policies, binders and invoices for accuracy.
• Coordinate policy and binder corrections.
• After review, apply state required stamping language and deliver the policy to the retail partner.
• Completing any required carrier surplus lines forms.
• Willingness to be cross trained in all aspects of the department as assigned by the Director of Compliance.
• Other tasks and responsibilities as determined based on operational needs within the department.

Knowledge, Skills, and Ability :

Work Environment

This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.

Other Duties :

This job description is intended to describe the level of work required by the person performing the work of the positions and physical requirements normal to the position. Principal duties outlined are the essential responsibilities and duties and other duties may be assigned as needs arise or as required to support principal duties.

Any written contractual agreements will supersede this job description. Employees must be able to perform essential functions of the position satisfactory, if requested reasonable accommodation will be provided to enable employees with disabilities to perform essential functions of the job, absent undue hardship.