Manager - Regulatory Compliance (Contract)

Qualifications

QUALIFICATIONS 

• 5+ years of insurance carriers regulatory compliance and controls experience in risk or regulatory roles 

• Demonstrated expertise in conducting comprehensive gap analyses between regulatory requirements and organizational policies, procedures, standards, and controls 

• Deep expertise in insurance regulations focused on life Insurance, medical, dental and other employee benefits at the federal and state levels including NAIC 

• Advanced ability to read, interpret, and extract specific compliance obligations from complex regulatory texts (statutes, regulations, bulletins, guidance documents) 

• Experience with insurance regulatory frameworks including ORSA, ERISA, AML, OFAC, and SOL 

• Proven experience mapping regulatory requirements to internal control frameworks and identifying control deficiencies 

• Experience in KYC/AML and financial crime controls for insurance products 

• Strong analytical skills with ability to systematically compare regulatory standards against documented policies, procedures, and controls 

• Strong understanding of insurance products (life insurance, annuities, health insurance, disability, dental, vision, and other employee benefit products) 

• Extensive experience reviewing and assessing compliance documentation, policy manuals, procedure documents, and control descriptions 

• Proficiency in using technology tools for compliance reviews, including AI-powered regulatory intelligence and analysis platforms 

• Demonstrated ability to quickly learn, adopt, and effectively deploy new AI applications for regulatory analysis and gap identification 

• Strong project management skills with ability to manage multiple workstreams simultaneously 

• Experience creating compliance matrices, gap analysis reports, control assessment documentation, and remediation roadmaps 

• Excellent communication and client-facing skills, including ability to present complex findings and recommendations clearly 

• Bachelor's degree in relevant field (Finance, Business, Law, or related discipline) 

PREFERRED

• Experience with multi-state regulatory requirement analysis, comparison, and harmonization for insurance carriers 

• Knowledge of insurance carrier operations, underwriting, claims, and distribution compliance requirements 

• Proficiency with AI tools, machine learning applications, natural language processing (NLP), or regulatory technology platforms 

• Hands-on experience with compliance automation tools, RegTech solutions, or AI-powered document analysis systems 

• Background in data analytics, compliance testing methodologies, or control assessment frameworks 

• Experience with document management systems, compliance workflow tools, or regulatory change management platforms 

• Experience conducting control self-assessments (CSAs), control testing programs, or internal compliance audits 

• Experience with executive presentations 

• Background in process documentation, procedure writing, and control design 

CORE COMPETENCIES 

• Insurance Regulatory Expertise 

• AI Tool Proficiency & Technical Adaptability 

• Leadership 

• Client Relationship Management 

• Communication Skills 

• Problem-Solving 

• Attention to Detail 

• Business Acumen 

• Documentation Review & Analysis 

• Regulatory Mapping & Requirements Extraction 

• Critical Thinking & Pattern Recognition 

• Process Analysis & Improvement 

EXPERIENCE REQUIRED:

Regulatory Analysis & Gap Assessment Expertise 

• 7-10 years in insurance industry with at least 5 years focused on regulatory compliance analysis, gap assessments, and control evaluations 

• Extensive experience reviewing and analyzing federal and state insurance regulations with ability to identify and extract specific compliance obligations 

• Proven track record conducting comprehensive gap analyses comparing regulatory requirements against organizational policies, procedures, standards, and controls 

• Experience creating detailed compliance requirement inventories, control mapping documentation, and gap analysis matrices 

• Demonstrated ability to identify control weaknesses, documentation gaps, and areas of non-compliance in insurance operations 

• Strong skills in assessing policy and procedure documentation for completeness, clarity, and regulatory alignment 

Product & Regulatory Knowledge 

• Solid understanding of federal and state regulatory requirements for life insurance products including term, whole life, universal life, variable life, and indexed universal life 

• Comprehensive knowledge of health insurance regulations including ACA requirements, state insurance codes, medical loss ratio rules, and network adequacy standards 

• Expertise in employee benefits regulations including ERISA, HIPAA, COBRA, and state-specific group insurance requirements 

• Understanding of annuity regulations (fixed, variable, indexed) including suitability, best interest, and disclosure requirements 

• Familiarity with dental, vision, disability, and other ancillary benefit regulations 

• Knowledge of NAIC Model Laws and Regulations, state variations, and ability to compare requirements across jurisdictions 

• Understanding of insurance carrier compliance obligations including form and rate requirements, market conduct standards, and consumer protection rules 

AI & Technology Proficiency 

• Proven ability to quickly learn new AI applications and integrate them effectively into compliance workflows 

• Experience leveraging technology to accelerate regulatory review processes, improve accuracy, and enhance gap analysis quality 

• Proficiency with data analysis tools, compliance databases, regulatory intelligence platforms, or document analysis systems 

Gap Analysis & Documentation Skills 

• Expert-level ability to review policies, procedures, standards, and control documentation for completeness, accuracy, and regulatory alignment 

• Proficiency in creating gap analysis matrices, compliance assessment reports, control evaluation summaries, and remediation roadmaps 

• Strong documentation skills with ability to clearly articulate gaps, deficiencies, and recommendations 

• Ability to prioritize gaps based on regulatory risk, business impact, and remediation complexity 

• Experience synthesizing findings from multiple sources into comprehensive compliance reports 

Additional information

All your information will be kept confidential according to EEO guidelines. 

Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.  

We do not use artificial intelligence to screen or make decisions about candidates. Limited AI tools may be used for administrative or operational purposes in the recruitment process.

Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.