Compliance Specialist (DSA)

Job Summary:

Under limited supervision, plans and performs operational and compliance audits of Underwriting, Claims, and other Flood departments to verify accuracy and compliance with appropriate National Flood Insurance Program (NFIP) rules and guidelines and client and company procedures, practices, and policies. Participates in Flood Business Quality Initiatives.


  • Verifies and evaluates adherence to National Flood Insurance Program (NFIP) rules and guidelines and to internal business process procedures across Flood departments as it relates to Underwriting and Claims transactions
  • Identifies system deficiencies contributing to human errors
  • Identifies business process or procedure deficiencies contributing to errors
  • Performs evaluations of Underwriting, Agency, and Claims phone calls from Agents, policyholders, and others to verify compliance with customer service guidelines and NFIP rules
  • Documents results of above activities, identifies trends, publishes results
  • Participates in Business Quality initiatives within Flood business units
  • Requires analytical ability, attention to detail, good written and verbal communication skills, Excel (intermediate or advanced skill level)

Essential Job Functions:
  • Conducts moderately complex operational, regulatory, or financial compliance audits to assess the effectiveness of controls, accuracy of records, and efficiency and effectiveness of operations.
  • Analyzes, summarizes and presents moderately complex audit data to verify the adequacy of the business controls and the integrity of reported data.
  • Evaluates the level of compliance with identified policies, contract requirements, laws and regulations and identifies departures from these policies, requirements, and/or laws/regulations to resolve any compliance problems; makes recommendations as appropriate.
  • Develops and presents formal written reports to communicate audit results to management; makes recommendations as appropriate.
  • Conducts special studies for management; makes appropriate recommendations to strengthen business controls, improve operations, and/or reduce costs.
  • Handles moderately complex audits and interviews employees to ensure recording of transactions and compliance with management plans and policies.
  • Participates in special projects, external audits and process improvements in support of quality assurance initiatives within Flood business units.

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