Compliance Manager - Compliance and Regulatory Affairs


Manage compliance efforts by maintaining up to date knowledge of pending and in force regulations affecting benefit insurances. Under the direction of the Compliance Director, analyze and review federal and state legislation affecting Employee Benefits, Health Benefit Exchanges and Pension and Retirement Savings plans. Based on this knowledge, assist clients in their efforts to maintain compliance, and educate clients and associates regarding regulatory changes and the implication of those changes.

Essential Duties and Responsibilities:

  • Regulatory Compliance:
    • With oversight from the Compliance Director, analyze new regulatory rule proposals, identify those which potentially impact the Employee Benefits Division and work with management staff to implement any necessary changes in processes or procedures.
    • Establish and maintain effective relationships with clients and associates within the Employee Benefits Division. Provide advice with respect to a wide range of compliance/regulatory issues including compliance with new regulatory requirements, and providing day-to-day advice within the following areas: HIPAA, COBRA, ERISA, Mandated Leaves of Absence, Internal Revenue Code (IRC), Plan Documents, Health Care Reform, and any other relevant Employee Benefits regulations.
    • Draft and maintain compliance alerts, training materials, tools and charts to educate associates and clients on regulatory issues.
  • Provide internal and external client service:
    • Support new business initiatives by attending finalist sales presentations, participating in departmental meetings, and providing advice on regulatory requirements.
    • Conduct client seminars, webinars and meetings to advise clients on new compliance/regulatory matters, as needed
    • Support departmental professional development initiatives by providing in-house educational trainings on new legislative issues.
  • All other duties as assigned.

Although based in Orange County, assist Compliance Director with servicing accounts in the San Diego and San Francisco / Bay Area offices, as needed.

Education and/or Experience

  • J.D. degree. Licensed attorney preferred.
  • Minimum 5 years of experience showing increasing responsibility within the employee benefits insurance industry. Experience must be directly related to the essential duties and responsibilities noted above.
  • In-depth knowledge of ERISA health and welfare plan reporting and disclosure compliance requirements, and the applicable ERISA, COBRA, HIPAA and IRC rules is required. A general understanding of employee benefit insurance brokerage sales, product and operations a plus.
  • Proficiency with Microsoft Word, Excel and PowerPoint with the ability to operate standard office equipment is required.
  • Maintain a valid driver’s license and have reliable transportation.
  • Must have strong research skills, and above average analyzing, problem solving and organization skills are essential.
  • A strong ability to communicate technical and complicated issues – both orally and in writing -- to a non-technical audience.
  • Strong attention to detail oriented.

Work Environment & Physical Demands

  • Ability to use computer keyboard and sit in a stationary position for extended periods as well as use of office equipment such as fax and copy machines, and telephones.
  • Work is performed in a typical interior/office work environment.
  • Travel to client sites is required. Travel is usually within driving distance of the office, but on regular occasions will require a 2 – 3 night stay out of town.
  • Extended work hours (10 – 12 hrs/day) required during peak workload periods and to participate in networking and industry functions that begin before the workday, and may extend into the evening.


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