Administrative Assistant, Legal and Compliance
Group1001 is a consumer-centric, technology-driven family of insurance companies on a mission to deliver outstanding value and operational performance by combining financial strength and stability with deep insurance expertise and a can-do culture. Group1001’s culture emphasizes the importance of collaboration, communication, core business focus, risk management, and striving for outcomes. This goal extends to how we hire and onboard our most valuable assets – our employees.
The Compliance and Legal Support Associate is responsible for the maintenance and development of an electronic document retention system for all legal and regulatory documents for Guggenheim Life and Annuity Company and its subsidiaries. The Associate is also responsible for data retrieval and document production from the document retention systems, and administrative and clerical support for the Regulatory Compliance department.
- Maintains a document retention system for filing legal and regulatory documents in accordance with record retention policies. Documents may include department policies and procedures, compliance records, reinsurance agreements, contracts, regulatory filings, service agreements, articles of incorporation and by-laws, and minutes of meetings of the board of directors and various committees.
- Creates and updates procedures for cataloging, indexing, and naming documents filed in the electronic document retention system. Provides guidance to other users to ensure consistency in applying procedures to new and existing documents. Ensures confidentiality of documents and controls access to documents according to pre-established guidelines for retrieval, viewing, and/or editing restrictions.
- Gathers and organizes records from various company systems in response to requests from internal auditors, external auditors, insurance regulators, division management, and others. Retains final responses in an electronic document retention system and manages appropriate access.
- Manages data entry in compliance databases and manages a calendar of internal and external due dates related to compliance tasks.
- Assists with the intake of federal and state legislative and regulatory changes for review and analysis by a Compliance attorney or delegate. Assists with the coordination and tracking of regulatory changes communicated to all departments.
- Assists with the analysis and drafting of both routine and non-routine legal documents.
- Assists with data collection and document production for internal audits and regulatory filings.
- Coordinates and tracks updates to procedures, forms, and other compliance documents.
- Performs other administrative and clerical duties as assigned.
• BA degree in business or related field or equivalent work experience in a legal and/or business setting maintaining documentation systems.
• Paralegal certificate or college-level coursework towards earning a paralegal certificate preferred.
• A minimum of 3 years of experience as a legal assistant, paralegal, compliance professional or executive assistant in a publicly or privately-owned company supporting senior executive levels.
• Knowledge of legal documents, required filings, and reporting requirements.
• Experience coordinating with other professional staff and/or project teams across multiple departments is helpful but not required.
• Must demonstrate sound judgment and analytical skills with ability to work independently with a high degree of accuracy and confidentiality.
• Strong interpersonal and communications skills.
• High degree of professionalism, trustworthiness, and a demonstrated ability to handle highly confidential and sensitive information.
• Mastery of MS Office applications, including Word, Excel, Power Point and Outlook; experience using database tools (e.g. Access) and document management systems (e.g. Open Text or OnBase) helpful; plus working knowledge of Internet, other information systems.