Compliance Generalist

Position Summary

Assists in the development, implementation and administration of the compliance function and/or the records management function. Participates in and completes special projects of low complexity. Develops and delivers training and awareness programs.

• The Hiring Manager will also consider candidates for Senior Compliance Generalist position. Level of position offered will be based upon the depth and breadth of selected candidate’s experience and qualifications and Records Management experience. 
• The primary focus for this opening is on the Records Management section of the Compliance Generalist position description.
• Hybrid work schedule is available with a minimum requirement of two days in the Home Office, Erie PA on Mondays and Thursdays.

Duties and Responsibilities

Compliance

Develops a thorough understanding of ERIE's business practices and operations and assists in determining the impact of new and/or revised laws, regulations and insurance department guidelines.

Gathers information from business areas on current processes. Analyzes information and recommends action plans to achieve compliance.

Works with Employees and management in all areas of the company to ensure that all reasonable efforts are made to achieve compliance in company operations.

Detects and reports on compliance matters throughout the company. Refers more complex compliance matters to senior staff or management for guidance.

Coordinates ERIE's response to low complexity requests for information from insurance departments and other regulatory agencies, including but not limited to market conduct examinations, and prepares related communications. Assists with ERIE’s response to moderately complex requests and related communications. 

Plans and leads meetings with Employees and management to evaluate appropriate response to and assist with remediation of existing compliance matters.

Researches low complexity compliance issues and develops recommendations and action plans for achieving compliance.

Maintains compliance tools to monitor projects, issues and inquiries.  Assists with the development and enhancements as needed.

Communicates the mission and objectives of the compliance function. Maintains and updates information on ERIE's web sites specific to compliance policies and procedures.

Records Management

Monitors compliance with records retention policies and procedures, including records retention schedule adherence.

Coordinates disposition of scheduled records and recommends appropriate storage and disposition for inactive paper and electronic records.

Detects and reports on records management matters. Recognizes serious or more complex compliance matters and refers to more senior staff or management for guidance.

Assists Law Division with managing legal preservation holds and related communications.

Plans and leads meetings with Employees and management to evaluate and recommend appropriate response to records management matters with low complexity.

Conducts periodic records inventories.

Researches simple-to-moderately complex records management issues and develops recommendations and action plans for achieving compliance.

Develops, maintains, and enhances records management tools to monitor projects, issues and inquiries.

Communicates the mission and objectives of the records management function. Maintains and updates information on ERIE's web sites specific records management policies and procedures.

Duties and Responsibilities (cont'd if applicable)

The first four duties under Compliance and the first three duties under Records Management are the functions identified as essential to the job. Essential functions are those job duties that must be performed in order for the job to be accomplished.

This position description in no way states or implies that these are the only duties to be performed by the incumbent. Employees are required to follow any other job-related instruction and to perform any other duties as requested by their supervisor, or as become evident.

Competencies

Qualifications

Minimum Required Education Equivalents

Bachelor's degree and two years’ experience in property/casualty insurance, life insurance, healthcare, health insurance, financial services, or other regulated business or industry with a similar work environment, required; or

Associate's degree and/or Paralegal Degree/Certificate and four years’ experience in property/casualty insurance, life insurance, healthcare, health insurance, financial services, or other regulated business or industry with a similar work environment required; or

High school diploma or GED and six years’ experience in property/casualty insurance, life insurance, healthcare, health insurance, financial services, or other regulated business or industry with a similar work environment, required.

Willingness to pursue one or more insurance designations preferably Associate in Insurance Regulation and Compliance (ARC), or Associate in Risk Management (ARM) required. Willingness to pursue relevant designations or training, such as Certificate of Compliance and Ethics Professional Program (CCEP), Certified Information Privacy Professional (CIPP), Certified Records Manager (CRM), or Essentials of Records and Information Management (RIM) Certificate preferred. Working knowledge of regulatory processes preferred. Proficiency with word processing and spreadsheet software required. Familiarity with database software and SharePoint preferred. Occasional overnight travel required.

Physical Requirements