Analyst III, Compliance Operations (Hybrid)

TruStage•Madison, WI

6d•Hybrid

About The Position

At TruStage, we’re on a mission to make a brighter financial future accessible to everyone. We put people first, and work hand in hand with employees and customers to create a diverse and inclusive environment. Passionate about building insurance and financial services solutions, we push the boundaries of what’s possible. We need you to help us shape what’s next. You’ll be encouraged to share your experiences, ideas and skills to help others take control of their financial future. Join a team that has received numerous awards for being a top place to work: TruStage awards and recognition Job Purpose: This position is responsible for reducing enterprise compliance risk by executing and improving assigned compliance processes. This role may include activities such as policy documentation and implementation, regulatory research, process execution, documentation, quality assurance and continuous improvement, measurement and reporting, and stakeholder communication. This role will take on increasing levels of responsibility for multiple compliance processes and will develop a deep understanding of TruStage’s business model, strategy and objectives, and the laws and regulations applicable to the assigned areas of responsibility. Role Detail: Responsible for overseeing the corporate entity lifecycle and ensuring legal entities remain in good standing across jurisdictions through timely, accurate regulatory filings and maintenance of corporate records.

Requirements

Bachelor's degree or an equivalent trade-off of related professional work experience; degree in Insurance-related or Business-related field(s) is preferred.
3 or more years’ relevant experience; this is mid-level position with opportunity for continued development and promotion.
Ability to understand TruStage’s enterprise business model and associated legal requirements and compliance risks.
Ability to understand how compliance processes mitigate legal, compliance and business risks and apply that understanding to the daily work of individuals and teams.
Ability to adapt in a changing work environment and assist others in understanding how and why changes impact compliance processes.
Ability to work in a team environment.
Effective written and verbal communication, interpersonal and organizational skills.
Computer skills including Microsoft Office Suite (Teams, Outlook, Word, PowerPoint, SharePoint, etc.) and ability to learn to use technology applications and systems related to assigned processes.
Requires periodic travel to the Madison office on a recurring basis, approximately 10% annual travel.

Responsibilities

Manage end-to-end entity lifecycle activities, including formation, qualification, maintenance, and dissolution across multiple jurisdictions
Prepare, review, and submit state regulatory filings (e.g., annual reports, amendments, licensing/registration documents) in accordance with statutory deadlines
Ensure accuracy and completeness of corporate records within entity management systems and maintain supporting documentation for audit readiness
Monitor jurisdictional requirements and regulatory changes; proactively assess impact and implement necessary updates to entity filings and processes
Serve as a subject matter expert for entity management processes, providing guidance to internal stakeholders
Coordinate with internal partners and external service providers (e.g., registered agents, legal counsel) to facilitate timely and compliant filings
Identify and implement process improvements to enhance efficiency, reduce risk, and strengthen controls within entity management and filing workflows
Support internal and external audits, regulatory exams, and information requests related to entity governance and filings
Maintain tracking tools and reporting to ensure visibility into filing status, upcoming deadlines, and compliance metrics
Execute multiple assigned compliance processes.
Identify compliance risks and opportunities for risk mitigation and improvement.
Document compliance policies and implementation plans.
Research applicable regulatory requirements and compliance risks.
Follow established quality assurance and audit practices to evaluate the effectiveness of compliance processes at reducing enterprise compliance risks.
Measure and report company performance in assigned compliance areas.
Communicate effectively with relevant stakeholders about compliance risks, compliance processes, and applicable metrics.
Understand TruStage’s enterprise business model and associated legal requirements and compliance risks.
Anticipate and develop risk mitigation strategies for new legal and compliance risks to TruStage, based on changes in the external legal and regulatory environment within the assigned subject matter area(s), and TruStage’s business model.
Use Microsoft Office applications (Teams, Outlook, Word, PowerPoint, SharePoint, etc.) and other technology applications and systems related to assigned processes.
Perform assignments independently without daily oversight or instruction from others.