Compliance and Legal Analyst

The Compliance and Legal Analyst plays a key role in supporting the organization’s legal and regulatory functions by providing research and analysis and operational support to corporate attorneys. This position assists with a broad range of responsibilities, including compliance reviews, contract drafting and analysis, corporate governance, licensing, privacy initiatives, litigation support, and regulatory monitoring. The analyst monitors new laws and regulations, evaluates operational impacts, and partners with business units to ensure company-wide compliance.

In this dynamic role, the Compliance and Legal Analyst also manages critical legal processes such as service of process, document management, privacy risk assessments, contract deficiency tracking, and subpoena responses. The position frequently engages with internal teams, external counsel, regulatory agencies, and other stakeholders, requiring strong communication, organization, and analytical skills. Ideal candidates bring a deep commitment to accuracy, confidentiality, and problem solving, along with the ability to manage multiple priorities in a fast-paced environment.

POSITION COMPETENCIES

• Attention to detail
• Quality Orientation
• Planning and Organizing
• Critical Thinking and Analysis
• Problem Solving

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Conducts research and resolves routine law questions under the guidance of supervising attorney.
• Actively participates in the Regulatory Compliance Team including monitoring, analyzing, and communicating legislative and regulatory developments in assigned states.
• Determines the operational impact of new legislation and regulations; provides support to business for implementation of new laws and regulations and data calls as otherwise requested by supervising attorney:
• Actively participates in the Privacy Team, including by:
  • Preparing and administering the annual Privacy Risk Assessment, and 
  • Monitoring and reporting Key Risk Indicators.
• Internal Regulatory Reviews
  • Independently performs routine compliance reviews that are small or medium in scale to determine compliance with laws, rules, and regulations including by:
    • Analyzing organizational functions or workflows against existing statutory and regulatory frameworks to determine compliance and makes corresponding recommendations.
    • Researching laws and regulations to ensure compliant operation for existing processes; develops and recommends solutions to the supervising attorney. 
  • Assists and supports Director of Compliance in conducting broad regulatory reviews by:
    • Compiling and reviewing materials to verify documentation,
    • Researching relevant laws, rules, and regulations against which to compare samples,
    • Conducting analysis of information and materials to confirm compliance, 
    • Preparing reports of findings, and
    • Making recommendations to the Director of Compliance or relevant business, as appropriate, for findings that are out of compliance. 
• Assists in the development and implementation of Compliance related trainings, including providing substantive guidance on select topics
• Performs contract review and analysis, including:
  • Prepares routine legal documents, agreements and instruments.
  • Reviews existing vendor contracts and tracks compliance with vendor risk management process and legal deficiencies.
• Prepares and files state and local filings. Handles information requests to and from other company personnel, including research of legal matters and historical information from company records and information from other departments regarding corporate entities, commercial transactions and litigation.
• Reviews documents and transmits information and documents to outside counsel and company personnel with minimal guidance from supervising attorney.
• Furnishes litigation support including file set-up and maintenance, litigation hold communications, document and fact gathering, review and preparation of discovery materials, and coordination of work through outside counsel including witness interviews; manages electronic billing by law firms. 
• Coordinates with outside counsel and Corporate Communications to maintain trademark registrations; reviews and processes related outside legal bills.
• Provides support for responses to subpoenas including coordination with business units, gathering of information, review of documents and drafting responses.
• Manages and executes organizational service of process function including managing registered agent appointments and receiving, logging and distributing information to appropriate individual or unit for response.
• Maintains Legal Department policies and ensures they are reviewed annually, kept current, and remain in compliance with the law. 
• Record Management, including:
  • Ensuring Legal Department compliance with its record retention policy, purging documents consistent with guidelines and working with business units to confirm starting periods and status.
  • Maintains corporate records (e.g., Company Compliant Register, Bankruptcy Log, Service of Process); audit as necessary or requested to ensure accuracy.
• Performs other traditional administrative functions such as reviewing mail and preparing correspondence.

ADDITIONAL RESPONSIBILITIES

• Provide assistance in corporate transactions, such as financing, mergers and acquisitions and affiliations, including due diligence, review and preparation of schedules.
• Assists in preparation of minutes and other routine corporate governance/secretary documents such as resolutions and consents.
• Maintains quality service by establishing and enforcing organization standards.
• Undertakes other ad hoc projects under supervision of attorney.
• Takes part in needed learning activities in a way that makes the most of the learning experience (e.g., takes notes, asks questions, and does required tasks).
• Benchmarks state-of-the art practices.
• Performs other duties as may be assigned by the Associate Counsel & Director, Corporate Compliance.

SPECIAL RELATIONSHIPS

• Interacts with all departments within the organization.
• Has direct contact with all levels of employees and management within the company. 
• Interacts with government bodies, regulatory agencies, outside counsel (both for and against the company), vendors, trade associations, courts, insurance agents, and policyholders.

QUALIFICATIONS

Education/Credentials

• Bachelor’s Degree preferred
• Paralegal or CPCU or other insurance/compliance certification required or qualified to obtain one

Experience

• Minimum of 5 years of experience in a regulatory, compliance, or legal related field required

Technical/Professional Knowledge

• Exceptional interpersonal skills, workflow management, tact and integrity
• Extremely organized with a strong sense of priority, urgency and commitment to deadlines 
• Exceptional legal research, analysis and writing skills 
• Strong communication skills
• Driven and self-motivated with a strong desire for learning 
• Ability to manage a heavy workload and prioritize multiple projects 
• Ability to work independently while functioning well in a team environment 
• Ability to understand general business operations, issues and dynamics beyond the scope of basic legal issues 
• Must be able to maintain confidentiality and discreetly work with sensitive, confidential, and technical information
• Strong computer skills, including proficiency with Microsoft Office products (Word, PowerPoint & Excel) and Lexis Nexis
• Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks and participating in professional societies.

JOB REQUIREMENTS (as required by ADA - Americans with Disabilities Act)

• This position is primarily a sedentary position that requires occasional standing and walking throughout the office environment.
• Must be able to effectively use a computer monitor.
• Must be able to operate a computer, keyboard and applicable printers and other general office equipment.
• Must be able to access and enter information accurately using automated systems.
• Must be able to communicate via the telephone and/or monitoring devices to both internal and external clients.
• Must be able to present information to individuals and groups.
• Must be able to interpret and apply concepts that may or may not be based upon established guidelines.
• Must be able to maintain acceptable attendance and adhere to scheduled work hours.