Senior Analyst, Operations Regulatory & Audit Management

TEAM OVERVIEW

Operations Regulatory & Audit Management (ORAM) provides a coordinated, consistent and defensible operational response when regulatory examinations, inquiries, investigations, consent orders, audits or regulatory requirements require Operations involvement.

The team partners with Compliance, Legal, Internal Audit, Operations leaders and third-party administrators to coordinate responses, conduct analysis, manage documentation and evidence, oversee remediation and strengthen readiness for future regulatory and audit activity.

ORAM also works to improve how the organization prepares for and responds to these matters by strengthening governance, documentation, issue management and repeatable response practices.

POSITION OVERVIEW

The Senior Analyst, Operations Regulatory & Audit Management is an experienced individual contributor responsible for independently managing regulatory and audit work and supporting complex examinations, inquiries, audits and remediation efforts.

The role owns defined matters and workstreams from intake through completion, including stakeholder coordination, research and analysis, evidence gathering, response preparation, tracking and reporting. The Senior Analyst is expected to exercise sound judgment, identify potential issues before they become escalations and operate with minimal day-to-day guidance.

The role also supports ORAM readiness and process maturity by maintaining playbooks, documentation standards, reporting practices and governance routines and by identifying opportunities to make recurring work more efficient, consistent and repeatable.

Successful candidates will be organized, analytical and comfortable working directly with Operations, Compliance, Legal, auditors, regulators and third-party administrators while managing multiple priorities and deadlines.

RESPONSIBILITIES MAY INCLUDE, BUT ARE NOT LIMITED TO

• Independently manage regulatory requests, audit activities and defined workstreams within larger examinations, inquiries or remediation programs.
• Manage external and internal audit requests by coordinating research, analysis, data and supporting documentation across Operations and third-party administrators.
• Support Market Conduct Exams, Department of Insurance inquiries and other regulatory matters, including request tracking, evidence coordination, response development and follow-up.
• Conduct thorough research and analysis and communicate findings, risks and recommendations to ORAM leadership and business partners.
• Organize and coordinate data gathering and evidence packages and review materials for completeness, accuracy and consistency before submission.
• Maintain clear ownership, milestones, status and documentation for assigned regulatory and audit matters.
• Identify potential response gaps, inconsistencies, missed requirements or emerging concerns and escalate them with recommended next steps.
• Support implementation and ongoing oversight of regulatory requirements, examination findings and audit remediation activities.
• Track remediation commitments, supporting evidence and closure activities and follow up with accountable business partners to maintain progress.
• Compile and analyze examination, audit and regulatory data to identify trends, repeat issues and opportunities to strengthen readiness.
• Maintain ORAM readiness materials, including playbooks, templates, stakeholder maps, checklists, evidence standards and lessons learned.
• Support intake, tracking, reporting and governance routines across ORAM to ensure matters are appropriately documented, routed and escalated.
• Develop management-ready status updates, reporting and presentation materials on regulatory, audit and remediation activity.
• Lead small-to-medium regulatory or audit-related projects and independently coordinate stakeholders, timelines and deliverables.
• Build and maintain effective working relationships with Compliance, Legal, Internal Audit, Operations leaders, third-party administrators and other partners.
• Identify opportunities to improve ORAM processes, documentation and tools and support implementation of approved enhancements.
• Serve as a subject-matter resource to Analysts and other team members on assigned regulatory and audit processes.

DESIRED ATTRIBUTES AND CHARACTERISTICS

• Ability to independently manage varied and complex assignments with minimal guidance.
• Strong analytical and problem-solving skills with the ability to identify issues and recommend practical solutions.
• Strong organizational and project-management skills with the ability to manage multiple deadlines and competing priorities.
• Sound judgment and willingness to escalate concerns proactively rather than waiting for direction.
• Strong written and verbal communication skills and ability to communicate clearly with management and cross-functional partners.
• Attention to detail and commitment to producing accurate, complete and defensible work.
• Ability to understand the purpose behind regulatory and audit requests rather than treating work as a documentation exercise.
• Comfort working directly with internal leaders, auditors, Compliance, Legal and third-party administrators.
• Continuous-improvement mindset with an interest in making recurring work more consistent and efficient.
• High degree of personal integrity, accountability, adaptability and professionalism.

QUALIFICATIONS

• 3-5+ years of relevant experience in insurance operations, regulatory response, audit management, compliance, controls or a related discipline.
• Experience independently managing regulatory, audit, compliance or other complex cross-functional work preferred.
• Life, annuity and/or preneed insurance experience preferred; TPA or third-party administration experience valued.
• Experience supporting regulatory examinations, market conduct activity, regulatory inquiries, external/internal audits or remediation programs preferred.
• Demonstrated ability to conduct research and analysis, coordinate stakeholders and prepare clear documentation or management reporting.
• Strong written and verbal communication skills.
• Proficient with Microsoft Office applications, particularly Excel and PowerPoint.
• Bachelor's degree or equivalent combination of education and relevant experience.
• Ability to work independently, manage competing priorities and deliver under tight deadlines.
• Occasional travel required.

SALARY RANGE
It is expected that the base annual salary range for this position will be $90,000 to $100,000. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.