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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive expertise in compliance program development and risk management within the insurance and financial services sectors, with a strong focus on regulatory adherence and stakeholder collaboration.
Highest-signal resume keywords
Compliance Program DevelopmentRegulatory Risk ManagementInsurance Brokerage ExpertiseCross-Functional CollaborationProfessional Writing Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Best PracticesInternal Control FrameworksData AnalysisRegulatory ReportingLegal Principles InterpretationCybersecurity RegulationsP&C Insurance RequirementsEmployee Benefit LawsLicensing and Sales PracticesRisk Management Principles
Soft Skills
Executive PresenceStakeholder AlignmentEffective CommunicationCollaboration
Industry Keywords
Insurance RegulationsFinancial Services ComplianceCompliance ReviewsGovernance DocumentsEnterprise Risk ManagementCompliance TrainingRegulatory InquiriesAudit CoordinationCompliance FrameworkCompliance Data Dashboards
Tech Stack
Tools & technologiesCyber Security
About the role
Key responsibilities & impact- Build, oversee, and continuously enhance the Company’s enterprise compliance program for U.S.-based businesses
- Ensure U.S. operations and activities adhere to applicable laws, regulations, and internal policies
- Identify compliance risks, monitor regulatory developments, and implement prevention and mitigation strategies
- Lead U.S.-level compliance initiatives and coordinate with local line-of-business compliance officers
- Develop, draft, and maintain Legal & Compliance policies and procedures
- Support creation and maintenance of HR, IT, and other corporate function policies
- Ensure governance documents are implemented across departments and business lines
- Design and deliver role-based legal and compliance training with Learning & Development
- Build and operationalize a scalable enterprise compliance framework
- Monitor state and federal laws, rules, and regulatory interpretations
- Partner with Enterprise Risk Management to evaluate compliance risks and support mitigation planning
- Conduct compliance reviews, testing, and assessments; document findings and corrective actions
- Coordinate responses to regulatory inquiries, audits, and examinations
- Maintain transparent and professional regulatory relationships
- Prepare compliance reports for senior leadership and the Board or a committee
- Analyze compliance data and develop dashboards and real-time reporting mechanisms
- Partner with Legal, ERM, HR, Internal Audit, Finance, IT, and other departments
- Facilitate cross-functional meetings and travel as needed
Requirements
What you’ll need- Deep understanding of laws and regulations affecting insurance and financial services sectors
- Knowledge of state and federal P&C insurance requirements
- Knowledge of employee benefit laws
- Knowledge of licensing, sales practices, compensation requirements, and consumer protections
- Knowledge of cybersecurity and IT regulatory requirements
- Knowledge of title insurance and mortgage-related regulations
- Strong knowledge of compliance best practices, internal control frameworks, and risk management principles
- Ability to review data, identify trends, detect anomalies, and diagnose potential compliance risks
- Ability to align diverse stakeholders to decisions and timelines
- Ability to collaborate cross-functionally
- Ability to clearly and effectively explain compliance expectations to leaders, brokers, and staff
- Strong executive presence and professional writing capability
- Ability to interpret complex regulations and apply them to operational contexts
- Foundational understanding of legal principles relevant to compliance
- 15+ years of progressive compliance experience, ideally with leadership responsibilities
- Bachelor’s degree in finance, law, business administration, or related field
- Demonstrated expertise in insurance brokerage, insurance company operations, or financial institution regulatory standards
- Significant experience in compliance and risk management roles within highly regulated industries
Benefits
Comp & perks- Comprehensive medical insurance, dental insurance, and vision insurance
- Life and disability insurance
- Fertility benefits
- Wellness resources
- Paid sick time
- Generous paid time off and holidays
- Employee Assistance Program (EAP)
- Complimentary Calm app subscription
- Immediate vesting in a 401(k) plan
- Health Savings Account (HSA) and Flexible Spending Account (FSA) options
- Commuter benefits
- Employee discount programs
- Paid maternity leave and paid paternity leave, including for adoptive parents
- Legal plan options
- Pet insurance coverage
