Legal Compliance and Regulations Specialist

The Compliance Department is looking to employ a Compliance Assistant (CA) with outstanding administrative and communication skills. A CA is expected to possess superb organizational and time management skills. You must be reliable and should accurately follow instructions with the ability to multitask in a fast-paced environment. To ensure success, a CA must possess the ability to communicate with regulatory and government officials with the utmost candor and deference. You will directly report to the Compliance Manger.

Essential Functions

• Annual License Renewal
• Assist with preparation and review of all annual state requirements to maintain licensure and update the state records
• Assist with annual reports filed by Capital Services to ensure accuracy of filings
• Communicate with the Finance Department for all financial reporting requirements
• Support communication with contractual liability insurance provider (“CLIP”) for renewals and obtain updated Schedule of Designated Contracts on CLIPS for certain states regarding all new products
• Retain and report expenses to maintain licensure
• Manage timelines and ultimate due dates for state renewals, quarterly reports and other state requirements
• Assist with updating the state records for all state renewals, annual reports, tax information, change in SOP addresses, Capital Services invoices, etc.
• 634 FL License Appointments and Renewals
• Complete appointments and biennial renewals, as needed
• Maintain spreadsheet documenting each filing and renewal dates
• Product Warranty and Service Contract Form Filing
• Complete form filing paperwork of product warranties and service contracts and other similar F&I products for submission to states for go-to-market approval
• Assist in researching and drafting timely responses upon receipt of state objections
• Prepare and file captive lender filings for F&I Sentinel and other individual lenders
• Coordinate with the underwriter to provide cover letters and CLIPs for specific F&I Sentinel filings
• Assist with captive lender renewals and reviews
• Assist with the rectifying and timely resubmission of form rejections with lenders
• Track and follow up on pending filings that are drawn-out with states and lenders
• Product Warranty and Service Contract Compliance
• Assist with revisions and analysis regarding state requirements to ensure successful form approval
• Timely review and revise specific forms based on regulatory interpretations
• Review and provide summaries of new state compliance requirements
• DMS Provider Form Programming
• Assist with sending forms for programming to DMS providers such as CDK and Reynolds & Reynolds and providing form number sequences when needed.
• Dealer Agreement and Agent Agreement Management
• Facilitate the execution of dealer agreements for new dealers and agent agreements for new sales agents, return fully executed copies to agents and the internal onboarding and setup teams  
• Add dealer agreements to the appropriate dealer in Salesforce for ease in retrieving 
• Work with IT to add new agents to and delete terminated agents from the email distribution lists
• Compliance Relationships
• Cultivate and maintain relationships with state regulators to promote PermaPlate’s (Siskin Enterprises, Inc.) excellent reputation as it relates to compliance and form filing
• Cultivate and maintain a good rapport with the Spectrum compliance team
• Keep up-to-date with the latest compliance trends and best practices
• Attend monthly trade association and federal update conference calls
• Major Contract Record Keeping
• Assist in maintaining and updating all pertinent form state and lender filing data into the Compliance Sentinel platform.
• Update Compliance Calendar to include new contracts and remove expired and terminated contracts
• DocuSign
• Assist with managing documents through DocuSign for execution by Key Officers, other management/managers and outside companies as directed by Compliance Manager or Spectrum General Counsel

• 3-5 years experience in legal or related field
• Ability to demonstrate extreme professionalism while managing confidential information and company procedures
• Effective administration and people management skills with the ability to accurately follow instructions
• Excellent written and verbal communication skills
• Highly computer literate with capability in email, MS Office and related business and communication tools. You must become familiar with SERFF, OPTINS, F&I Sentinel, and other required state platforms, and be efficient in the ability to make spreadsheets and presentations
• Fantastic organizational and time management skills with meticulous attention to detail
• Strong decision-making and problem-solving skills

Physical Demands

Prolonged periods of sitting at a desk and working on a computer

This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.