Senior Compliance Analyst

Location: Westlake

About the Role

We are seeking a talented Senior Compliance Analyst to join our Legal Compliance Leadership team in the Office of the General Counsel at a nationally recognized, publicly traded independent insurance agency. This is an exciting opportunity to serve as a strategic business partner and embedded risk advisor—not a compliance enforcer—supporting enterprise risk management and regulatory compliance while driving operational excellence across the organization.

Position Overview

The Senior Compliance Analyst will serve as a critical bridge between internal audit functions, IT/IS controls, accounting operations, regulatory requirements, and business strategy. Unlike traditional compliance roles focused solely on enforcement and checklist completion, this position is fundamentally a business-embedded compliance/risk function. You will serve as a trusted advisor to senior leadership and business partners, helping the organization identify and manage risk while identifying opportunities for operational improvement.

Reporting to Legal Compliance Leadership within the Office of the General Counsel, you will support enterprise risk management across the organization and engage with all major business functions as a strategic partner.

What We're Looking For: Four Roles in One

This role requires you to be comfortable operating across four distinct competency areas, moving fluidly between them based on business need:

Business Consultant: You identify opportunities to strengthen operations, improve processes, and implement innovative solutions. You understand business objectives and help translate regulatory requirements into practical improvements that add value. You think like a business partner, not a gatekeeper;

Investigator: You conduct rigorous root cause analysis, dig into complex problems, and follow evidence wherever it leads. You ask tough questions, challenge assumptions, and develop data-driven findings presented independently and objectively to leadership;

Policy Architect: You design governance structures, draft clear and practical policies, and build frameworks that enable the business to operate effectively within a risk-managed environment. You translate complex regulatory requirements into actionable guidance that works in real business contexts; and

Analyst: You leverage data, analytics, and quantitative methods to assess control effectiveness, identify trends, and support evidence-based decision-making. You're comfortable with Excel, SQL, statistical analysis, and translating data into clear insights.

Insurance Regulatory Environment

• This position operates within the complex, multi-state regulatory framework governing personal lines insurance. Key focus areas include:
• State-by-state regulatory requirements and compliance obligations across all jurisdictions where the agency operates
• Insurance department examination processes and regulatory readiness
• Errors and omissions (E&O) risk management and mitigation strategies

Key Responsibilities

• Act as a strategic business partner and trusted advisor to senior leadership and cross-functional teams
• Perform internal and IT audit functions, assessing control environments and operational effectiveness across the organization
• Conduct rigorous, independent root cause analysis investigations related to compliance matters, E&O risks, and operational control failures
• Research, analyze, and interpret multi-state insurance regulatory requirements and advise business partners on implications and best practices
• Assess and advise on regulatory examination readiness and compliance testing
• Design and draft practical policies, procedures, and governance frameworks that enable business effectiveness while managing risk
• Identify process improvement opportunities and lead implementation of system improvements and risk mitigation strategies
• Prepare independent findings and comprehensive presentations for executive-level audiences
• Leverage data analytics and regulatory reporting tools to identify compliance trends, control gaps, and operational anomalies
• Support enterprise risk management initiatives and compliance testing programs

Cross-Functional Collaboration

• This role interacts regularly with leaders and team members across the organization, including:
• Sales, Service, and Operations teams on compliance in customer-facing and operational processes
• Learning and Development on compliance training and awareness programs
• Legal and General Counsel's office on regulatory matters and legal strategy
• Partnerships team on third-party compliance and vendor management
• Strategic Initiatives on compliance implications of business transformation projects
• Finance and FP&A on financial controls, accounting compliance, and resource allocation

Required Skills & Experience

Professional Experience: 5-10 years of professional experience in internal audit, IT/IS audit, accounting, compliance, risk management, or related regulatory functions

Core Competencies

• Strong analytical and problem-solving abilities with proficiency in quantitative and qualitative analysis; comfort with ambiguity and ability to derive clear conclusions from incomplete information
• Advanced data analytics capabilities; experience with Excel modeling, statistical analysis, and data visualization
• Excellent written communication skills with the ability to translate complex regulatory and technical concepts into clear, actionable documentation
• Strong presentation skills and ability to communicate findings persuasively to diverse audiences from operational staff to executive leadership
• Independent judgment and ability to conduct research and analysis with minimal supervision while maintaining objectivity
• Business consulting mindset: ability to identify process improvements, see opportunities, and implement solutions while understanding business constraints
• Knowledge of internal audit, IT/IS audit, and legal/regulatory analysis frameworks and methodologies
• Ability to work independently and collaboratively across organizational functions and business units; comfort as a trusted advisor and thought partner
• Curiosity and intellectual rigor; comfort asking difficult questions and challenging the status quo in service of better risk management

Preferred Qualifications

• Insurance industry experience, particularly in personal lines operations or regulatory compliance
• Familiarity with multi-state insurance regulations and state insurance department requirements
• Familiarity or active interest in enterprise risk management (ERM) frameworks and practices
• Advanced data analytics capabilities; experience with Excel modeling, SQL, statistical analysis, and data visualization, including Snowflake, Power BI and/or Salesforce reporting and analytics tools
• Knowledge of or interest in artificial intelligence applications, including AI governance and risk considerations
• Understanding of data privacy regulations and consumer protection requirements
• Relevant certifications (CIA, CISA, CPA) or active pursuit of certification

About Our Company

We are a nationally recognized, publicly traded independent insurance agency specializing in personal lines insurance. Our mission is to provide exceptional service while maintaining the highest standards of compliance, integrity, and operational excellence. We believe that compliance and risk management are strategic enablers of business success, not obstacles to it. We are committed to innovation, leveraging technology to serve our customers and stakeholders, and building a culture where risk-informed decision-making drives sustainable growth.