Compliance Analyst

Goosehead Insurance•Westlake, OH

17d

About The Position

The Compliance Analyst will join the compliance and risk management team of a nationally recognized independent insurance agency serving the personal lines insurance market. The role bridges internal audit, IT/IS controls, regulatory requirements, accounting operations, and business strategy. The analyst conducts independent analysis, presents findings to senior leadership, and implements system improvements while supporting regulatory compliance and enterprise risk management. The position operates within the multi-state regulatory framework for personal lines insurance, including state-specific compliance obligations, insurance department examinations and regulatory readiness, and errors and omissions (E&O) risk management. The analyst collaborates with teams across sales, service, operations, legal, partnerships, strategic initiatives, finance, and learning and development on compliance matters and business activities.

Requirements

3–7 years of professional experience in internal audit, IT/IS audit, accounting, compliance, or related regulatory functions.
Strong analytical and problem-solving abilities, including quantitative and qualitative analysis.
Advanced data analytics capabilities, including experience with Excel modeling and statistical analysis.
Excellent written communication skills and ability to translate complex concepts into clear documentation.
Strong presentation skills and ability to communicate findings to diverse audiences.
Independent judgment and ability to conduct research and analysis with minimal supervision.
A business consulting mindset and ability to identify process improvements and innovation opportunities.
Knowledge of internal audit, IT/IS audit, and legal/regulatory analysis frameworks.
Ability to work independently and collaboratively across organizational functions.

Nice To Haves

Familiarity with or active interest in enterprise risk management (ERM) frameworks and practices.
Experience with SQL, statistical analysis, and data visualization tools, including Snowflake, Power BI, and/or Salesforce reporting and analytics tools.
Knowledge of or interest in artificial intelligence applications, including AI governance and risk considerations.
Understanding of data privacy regulations and consumer protection requirements.
Insurance industry experience, particularly in personal lines operations.
Relevant certification such as CIA, CISA, CPA, or similar, or willingness to pursue certification.

Responsibilities

Perform internal and IS audit functions, assessing control environments and operational effectiveness.
Conduct root cause analysis investigations and independently present findings to management.
Research, analyze, and interpret regulatory requirements and industry best practices.
Draft and maintain policies, procedures, and compliance documentation.
Design and implement system improvements and risk mitigation strategies.
Prepare presentations and reports for executive-level audiences.
Support enterprise risk management initiatives and compliance testing.
Use data analytics and regulatory reporting tools to identify trends and anomalies.
Collaborate with sales, service, and operations teams on compliance in customer-facing and operational processes.
Work with Legal and the General Counsel's office on regulatory matters and legal strategy.
Support third-party compliance and vendor management with the Partnerships team.
Assess compliance implications of business transformation projects with Strategic Initiatives.
Work with Finance and FP&A on financial controls, accounting compliance, and resource allocation.
Collaborate with Learning and Development on compliance training and awareness programs.
Support compliance with state-by-state requirements and readiness for insurance department examinations.
Contribute to E&O risk management and mitigation.