Job Title:

Compliance Analyst

Number of Positions:

1

Location:

Albuquerque, NM

Location Specifics:

In-Office

Primary Job Responsibilities:

The Compliance Analyst is a full-time position within the Legal-Compliance Department reporting to the General Counsel & Compliance Officer that will carry out roles and responsibilities in accordance with this job description, the Code of Conduct & Values, assignments, and applicable legal, corporate, and department requirements. The Legal-Compliance Department is responsible for the legal, compliance, Code of Conduct, corporate governance, and government relations functions of the company under the leadership of the General Counsel, who also serves as the Compliance Officer, Corporate Secretary, and Senior Management Team member of the company.

Legal-Compliance Department Mission

• Serve & assist the company achieve its Mission and Strategic Goals in accordance with the Values and legal-regulatory requirements.
• Advise the company in legal, compliance, business, and industry trends, developments & practices.
• Drive on-going: operational efficiency; financial integrity; compliance assurance; effective ERM & Corporate Governance; and ethical, common-sense decision-making and action under the Values.
• Deliver timely, responsive, competent, and quality service, deliverables, and support in the best interests of the company.
• Always maintain a reputation as a positive, professional, and trustworthy thought partner at all levels of the company, and with the customers and stakeholders of the company, in accordance with the Mission, Values, & Code of Conduct.

Key Responsibilities:

• Assist in the design, execution, and maintenance of the annual compliance plan by providing assessment, analysis, reporting, and awareness & training deliverables in accordance with established department policies and procedures.
• Prepare and file all policy form, rate, and material filings with regulatory agencies in collaboration with other corporate departments to assure compliance, quality, and timeliness that will maximize regulatory approval outcomes in alignment with the strategic business needs while maintaining strong regulatory relationships in accordance with the Values.
• Prepare, submit, and oversee the company’s compliance with all regulatory and association filing and reporting requirements on an annual and quarterly basis, reporting issues to management, in accordance with established department policies and procedures.
• Oversee and facilitate the processing of all formal appeals and grievances in collaboration with other corporate departments to assure compliance with established legal, regulatory, and corporate requirements in accordance with established department policy and procedure and the Values.
• Review, analyze, prepare, and submit formal responses, in collaboration with other internal departments, to any formal complaint, inquiry, or request (including external exam or audit coordination) submitted to the company by a regulatory or non-regulatory entity involving compliance issues in a timely, responsive, and quality-assurance manner that maintains strong regulatory relationships in accordance with established department policies and procedures.
• Stay updated on all relevant laws, regulations and industry standards related to the company’s business.
• Developing and delivering compliance communications and training to departments, employees and other customers and stakeholders of the company in accordance with established department policies and procedures.
• Identify and analyze compliance risks and facilitate responsive action with departments to remediate, mitigate, and manage in the best interests of the company in accordance with established department policies and procedures.
• Conduct internal audits, assessments, and surveys to evaluate compliance with legal, regulatory, and corporate requirements or support effective Enterprise Risk Management (ERM) practices in accordance with established department policies and procedures.
• Investigate compliance concerns, incidents, or alleged violations of legal, regulatory, or corporate requirements.
• Assist with design, implementation, and maintenance of formal policies, procedures, and controls across the enterprise in partnership with the quality function.

Performance Expectations:

• Perform other work-related duties as assigned by the General Counsel & Compliance Officer.
• Comply with department and corporate administrative procedures, policies, and best practices.
• General working knowledge of Microsoft Office programs including MS Word, Excel, Forms, & PowerPoint needed. Prior experience utilizing Adobe Acrobat a plus.
• Communicate, correspond, and interact with clients and outside entities, such as government agencies, corporations, and other offices to gather information or data.
• Complies with department and corporate administrative procedures and requirements including weekly and monthly deadlines for submitting time sheets, time entries, status reports, and availability updates.

· Maintain strict confidentiality of the company's internal business affairs and protected information. Understands the values and ethics of the position, including ethical rules on confidentiality and company representation.

· Exemplify trust, professionalism, and positivity in alignment with company values and the duties of loyalty and care on behalf of the Legal-Compliance Department. Strives for excellence, quality, timeliness, responsiveness, critical thought, common sense, discernment, efficiency, and value.

· Interacts effectively and professionally with clients and personnel at all levels, including executives, directors, managers, co-workers, and support staff.

· Owns professional development by seeking feedback, accepting constructive input, editing work, and learning new skills.

· Embraces new processes and incorporates new technology to meet evolving company demands.

· Responds quickly and positively to shifting demands and opportunities; works under tight deadlines and manages multiple detailed tasks regardless of instruction level.

· Contributes as a positive, team-oriented member by sharing information, goals, opportunities, successes, and failures with appropriate parties.

· Plans, organizes, and completes multiple related tasks efficiently.

· Communicates strongly (verbally and in writing) and exerts influence across all levels of the organization.

· Analyzes complex information, identifies risks, and develops sound recommendations.

· Solves problems, identifies issues and root causes, and works with minimal supervision.

· Anticipates problems and issues, exercising independent judgment to resolve them.

· Delivers high-quality work products and demonstrates ownership through follow-up and follow-through.

· Works independently and collaboratively in a fast-paced environment.

· Functions effectively in a multi-office and culturally and educationally diverse environment.

· Lifts boxes up to 20 pounds.

· Travels on short notice and works overtime as needed, including nights and weekends.

Minimum Requirements:

Qualifications:

The successful candidate will have a bachelor’s degree from an accredited institution plus 3 to 5 years’ experience. The position will involve significant contact with management and personnel of the company and requires strong interpersonal, professional, and communication skills. Demonstrated business judgment, common sense, and ethical behavior. The candidate must be a demonstrated self-starter who is both highly organized, positive, and professional collaborator. The candidate must be legally authorized to work in the United States of America and successfully pass background checks and drug testing.

The company will provide equal employment and advancement opportunity within the context of its unique business environment without regard to race, color, religion, gender, gender identity, gender expression, age, national origin, familial status, citizenship, genetic information, disability, sex, sexual orientation, marital status, pregnancy, height, weight, military status, or any other status protected under federal, state, or local law or ordinance.