Legal & Compliance Paralegal

Job description

**About Investors Heritage** Since 1960, Investors Heritage has offered life insurance and annuity products that help individuals plan for retirement and preserve their legacies. Headquartered in Frankfort, Kentucky and licensed in nearly every U.S. state, we combine deep regional roots with a national presence-delivering forward-thinking, tech-enabled solutions grounded in the old-fashioned value of personal service. In 2018, Investors Heritage was acquired by Aquarian Holdings as its flagship insurance carrier. With the backing of Aquarian, success of our products and our solid partnerships, we've entered a period of strategic growth and innovation – earning multiple recognitions as one of the fastest growing life and annuity insurers in the country. And we're not stopping there. We continue to innovate sensibly, build relationships with our partners and deliver exceptional service to our clients. Having that kind of foundation – one built on reliability, consistency, and quality – grounds everything we do at Investors Heritage. We're looking for talented, driven individuals who want to grow with us. **Position Summary** Investors Heritage is seeking a highly organized, analytical, and proactive Compliance Paralegal to support the Company’s Legal and Compliance functions. This role will independently administer and coordinate a variety of regulatory, compliance, legal operations, and corporate governance processes, including managing workflows, coordinating across departments, preparing high-quality work product, and identifying matters requiring attorney or compliance leadership review. The Compliance Paralegal will work closely with the General Counsel, attorneys, compliance personnel, and business leaders throughout the Company and will gain broad exposure to insurance regulation and in-house legal and compliance operations. The position reports to the General Counsel and works under the supervision of the General Counsel and other designated attorneys or compliance leaders. This position is hybrid. **Primary Responsibilities** **Regulatory Filings and Regulatory Matters** - Coordinate, prepare, submit, track, and maintain insurance regulatory filings and related documentation. - Maintain regulatory calendars and monitor recurring, event-driven, and project-specific deadlines. - Assist with and, as experience develops, independently administer routine SERFF filings and other regulatory submissions. - Coordinate information and documentation from business areas necessary to support regulatory filings and responses. - Support regulatory examinations, audits, investigations, and inquiries, including maintaining request trackers, organizing supporting materials, and preparing initial draft responses. - Track regulatory requests, commitments, corrective actions, and other outstanding matters through completion, escalating potential issues as appropriate. **Legal and Compliance Operations** - Support and independently administer assigned day-to-day Legal and Compliance processes and workflows. - Maintain matter lists, departmental calendars, legal and compliance records, and other tracking systems. - Track legal deadlines, regulatory commitments, contractual notices, renewals, and other departmental obligations. - Assist with subpoenas, powers of attorney, guardianship matters, litigation holds, information requests, and other routine legal matters. - Support administration of compliance policies, training, certifications, monitoring, and programs including AML, OFAC, privacy, consumer protection, and complaint management. - Assist attorneys and compliance personnel with regulatory matters, transactions, litigation, special projects, and enterprise initiatives**.** **Complaints, Research, and Regulatory Monitoring** - Assist with intake, investigation, tracking, and administration of consumer complaints and regulatory inquiries, including gathering records and preparing factual summaries and initial draft correspondence. - Conduct factual, legal, and regulatory research at the direction of attorneys or compliance leadership. - Monitor relevant regulatory developments and prepare summaries, comparison charts, and research compilations for review. - Maintain regulatory change tracking and assist with implementation of new or revised requirements. - Identify recurring themes, unusual matters, or potentially significant developments requiring additional legal or compliance review. **Contracts, Corporate Governance, and Information Management** - Maintain contract, corporate, and Legal and Compliance document repositories and related tracking systems. - Track contract approvals, amendments, renewals, expirations, notices, and signature processes. - Maintain corporate governance records and assist with board and committee materials, resolutions, consents, and meeting documentation. - Organize and administer data rooms and document collections supporting examinations, litigation, transactions, audits, and due diligence. - Maintain appropriate document organization, version control, retention practices, templates, trackers, and standardized workflows. *The Compliance Paralegal does not provide independent legal advice or make legal determinations on behalf of the Company. Matters requiring interpretation of law, assessment of material legal or regulatory risk, or advice regarding Company action are escalated to the appropriate attorney or compliance leader.* **Required Qualifications** - Bachelor’s degree, Paralegal Certificate, or equivalent combination of education and relevant professional experience. - At least five years of experience in a legal, compliance, regulatory, insurance, financial-services, or comparable professional environment. - Demonstrated ability to independently manage multiple processes, projects, and deadlines. - Strong organizational and project-management skills. - Strong analytical skills and attention to detail. - Excellent written and verbal communication skills. - High degree of discretion when handling confidential or privileged information. - Proficiency with Microsoft Word, Excel, PowerPoint, Outlook, AI applications and similar business applications. **Preferred Qualifications** - Experience preparing or administering SERFF filings. - Experience supporting insurance regulatory and compliance matters, including regulatory filings and examinations, state insurance department requirements, and compliance programs. - Experience administering contracts and corporate governance records. - Experience using Westlaw, LexisNexis, or comparable research tools. - Experience creating or improving legal or compliance workflows, trackers, and operational processes. *Investors Heritage is an equal opportunity employer. Investors Heritage is committed to creating and maintaining a workplace in which all employees have an opportunity to participate and contribute to the success of the business and are valued for their skills, experience and unique perspectives. Investors Heritage does not discriminate on the basis of race, color, creed, religion, sex, national origin, veteran status, mental or physical handicap or disability, age, citizenship status, alienage, ancestry, marital status, sexual orientation, gender identity or expression or any other criteria prohibited under applicable federal, state or local law. Investors Heritage makes reasonable accommodations for applicants and employees with disabilities in accordance with applicable law.*