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Compliance Analyst


The primary purpose of this position is the independent execution of the administrative, clerical and multiple tracking functions supporting the Compliance department as it relates to state form filings, annual report filings, license renewals and license applications for multiple entities, and license types.

Required Education and Experience

  • High school diploma or General Education Degree (GED) required
  • Intermediate knowledge of MS Office (Word, Excel, Outlook, Power Point)
  • Excellent organization and multi-tasking skills, with demonstrated proactive ownership and accountability
  • Must be able to work effectively under pressure in a fast-paced environment

Preferred Education and Experience

  • Bachelor’s degree
  • Exposure to compliance within the Insurance industry
  • A combination of education and experience that would enable performance of the full scope of the position
  • Typing skills of 50 WPM
  • Previous experience at a warranty administration company

Position Type/Expected Hours of Work

  • Full-time position
  • Standard days are Monday through Friday
  • Schedule flexibility may occasionally be allowed if pre-planned and approved
  • Must be willing and have the ability to work additional hours during peak business needs and occasional weekend hours, as requested
  • Must be willing to adjust work hours depending on Manager’s scheduling requirements


To perform the job successfully, an individual should demonstrate the following competencies to perform the essential functions of this position.

  • Problem solving—the individual identifies and resolves problems in a timely manner and gathers and analyzes information skillfully
  • Interpersonal Skills—the individual maintains confidentiality, remains open to others’ ideas and exhibits willingness to try new things
  • Oral communication—the individual speaks clearly and persuasively in positive or negative situations, demonstrates group presentation skills and conducts meetings as required
  • Written Communication—the individual edits work for spelling and grammar, presents numerical data effectively and is able to read and interpret written information
  • Planning/organizing—the individual prioritizes and plans work activities, uses time efficiently and develops realistic action plans
  • Quality control—the individual demonstrates accuracy and thoroughness and monitors own work to ensure quality
  • Adaptability—the individual adapts to changes in the work environment, manages competing demands and is able to deal with frequent change, delays or unexpected events
  • Dependability—the individual is consistently at work and on time, follows instructions, responds to management direction and solicits feedback to improve performance
  • Safety and security—the individual actively promotes and personally observes safety and security procedures, and uses equipment and materials properly

Essential Functions

  • Annual report filings, updates and audit responsibility for corporate filings
  • Form filings with state regulatory bodies for the vehicle service contract business and related industries
  • Draft compliance related language to be included in consumer agreements
  • Respond to state reviewer objections
  • Dissemination of lender information throughout the organization
  • Execution of dealer and agreement compliance review
  • Incorporate updates to the Compliance Unit Manual
  • Conduct compliance related research
  • Entering and maintaining data into AGWS.NET
  • Distinguish closely related and similar documentation and house documentation in appropriate locations
    Independently compose correspondence
  • Process license renewals for multiple entities and license types
  • Prepare license applications for the vehicle services contract business and related business
  • Prepare license applications for insurance business
  • Process license renewals for insurance business
  • Maintain compliance department records
  • Assist in and independently prepare lender filings. Track and record submissions through ultimate disposition
  • Read and understand contract language
  • Proof read contracts for accuracy to verify data is complete and in concert within an agreement
  • Utilize Ticket Tracking Help Desk software to manage and track tickets
  • Enter thorough and accurate notes in computer system detailing discrepancies and action taken to resolve
  • Review of new dealer and new agent set up as it relates to signatory qualifications
  • Collaborate daily with Manager to coordinate assignments and work load; provide timely feedback to Manager regarding issues and/or concerns
  • Create new and update current department procedure documentation
  • Identify and escalate situations requiring urgent attention and redirect problems to appropriate resource
  • Return phone messages and emails within one business day
  • Provide clerical and administrative support including copying, faxing, scanning and filing
  • Prepare UPS mailing packages
  • Build, strengthen and maintain positive business relationships by establishing rapport with customers (agents, dealers and internal personnel)
  • Ensure client satisfaction both internally and externally
  • Perform internet searches for information
  • Make recommendations to implement improved processes
  • Maintain knowledge of functional area and company policies and procedures
  • Maintain a neat, clean and organized work area
  • Promote professionalism reflecting the highest level of moral and ethical behavior as a role model for all employees
  • Maintain the highest level of confidentiality and display professionalism in all settings
  • Flexibility and willingness to accept additional tasks, duties and/or direction from management

The duties listed above are not designed to cover or contain a comprehensive listing; they are intended only as illustrations of the various types of work that may be performed. The omission of specific duties, responsibilities and activities does not exclude them from the position; as they may change at any time with or without notice.


Headquartered just outside of Chicago, Illinois, AGWS is an innovative provider of administration services for Agents and Dealers offering vehicle service contracts, limited warranties, and a variety of environmental and aftermarket products across the United States. Since its inception in 1998, the goals of AGWS are to offer superior claim processing, exceptional customer service, and unrivaled profitability options. Products are insured by “A” or “A-” (Excellent) rated carriers. AGWS is part of the American Guardian Group of Companies and enjoys an A+ rating with the Better Business Bureau.




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