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Regulatory Compliance Analyst


The position is responsible for assisting the Compliance and Legal departments with its day-to-day tasks. This includes supporting compliance processes, information gathering of regulatory requirements, legal and compliance research, drafting documents, and responding to escalated customer complaints.

Required Education and Experience

  • Bachelor’s Degree or a combination of education and experience that would enable performance of the full scope of the position
  • 3 years of relevant experience at a licensed/regulated industry
  • Relevant knowledge of regulatory or procedural compliance issues
  • Intermediate to advanced knowledge of Microsoft Office Suite (Word, Excel, Outlook, Power Point, Adobe Acrobat, including the ability to create spreadsheets and pivot tables, and learn proprietary systems) and related software applications
  • Experience gathering and analyzing various types of data and communicating information in a variety of prescribed forms
  • Solid knowledge of legal terminology and processes


Preferred Education and Experience

  • Experience responding to escalated customer complaints
  • 5 or more years of experience in a regulatory compliance department
  • Prior experience creating and writing professional correspondence
  • Business license and warranty form filing experience
  • Knowledge of vehicle service contracts, limited warranties, and GAP



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

  • Problem solving – the individual proactively 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
  • Attention to Detail – the individual practices thoroughness and accuracy when accomplishing a task and when reviewing documents
  • 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

  • Conduct legal and compliance research under the guidance of the Senior Corporate Counsel
  • Respond to escalated customer complaints and assist with negotiated settlement agreements and complaint resolution
  • Backup to the licensing and registration processes, including creating, documenting, and ensuring timely and accurate submission of forms, reports, and license filings
  • Review state statutes, regulations, and bulletins and gather information as directed
  • Help with the preparation of procedures, policies, and manuals
  • Assist with the development and review of annual, quarterly, and monthly reports
  • Review and research related vendor and client applications
  • Update forms, files, charts, and manuals as directed
  • Assist internal and external stakeholders with information inquiries
  • Maintain and revise records and spreadsheets in a timely and accurate manner
  • Provide detailed and precise accounting of the status of projects and ensures all deadlines are met
  • Involved in the creation of compliance and regulatory guidelines and procedures
  • Originate and maintain good relationships with key regulators
  • Collaborate daily with reporting Manager to coordinate assignments and workload and provide timely feedback
  • Maintain ongoing two-way communication promoting professionalism, teamwork, and positive employee morale
  • Accept additional tasks, special projects, and other related duties and/or direction as assigned and work collaboratively with other AGWS Managers and staff
  • Interact with Management and guests presenting a polished and professional image in all settings

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 protection products, 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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