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Enroll Compliance Auditor II

The Company:  CAIC
The Location: 


The Division:  Group Benefits Operations
Job Id:  3674



Job Summary

Audits department processes, controls, and policies to identify regulatory issues, nonconformance, or deviations from existing Department of Insurance (DOI) standards and state regulations; collaborates with leadership, Compliance, and other internal contacts to resolve problems


Principal Duties & Responsibilities

Under close supervision, conducts a variety of audits ranging from proactive/routine to more critical audits requested by the Department of Insurance (DOI); conducts quality assessments of New Business processes, controls, and policies to identify regulatory issues, nonconformance, or deviations from existing DOI standards and state regulations; partners with more experienced auditors to make recommendations for corrections to policies/processes based on findings


• Addresses various inquiries from the business unit pertaining to New Business processes or potential compliance issues, and collaborates with leadership, Compliance, and other internal contacts to gather information and resolve problems identified


• Documents audit results to ensure that root cause analysis, trends, quality issues, and performance measures are communicated to leadership; updates documents (e.g., procedures, work instructions and SOPs) as instructed to reflect updated processes or regulatory changes; communicates and monitors changes to avoid reoccurrence


• Performs other related duties as required


Education & Experience Required

  • High School Diploma or Equivalent
  • 4 years of job related experience 
  • Experience and proficiency using Microsoft Office Suite software  
  • Yellow belt certification 

Or an equivalent combination of education and experience


Education & Experience Required

  • 1 year of experience in Enrollment Compliance
  • Experience using Business Objects and MS Access
  • Experience with process modeling and documentation


Job Knowledge & Skills

• Advanced knowledge of business unit process, procedures, and policies


• Knowledge of principles and processes for providing customer and personal services; this includes needs assessment, meeting quality standards for services, and evaluation of customer satisfaction


• Skill in giving full attention to what other people are saying; taking time to understand the points being made; asking questions as appropriate


• Skill in understanding the implications of new information for both current and future problem solving and decision-making


• Skill in managing one’s own time and the time of others and actively looking for ways to help people


• Proficiency in MS Excel, Word, and PowerPoint  



  • Acting with Integrity - Clearly states goals and beliefs; lets people know his/her true intentions; does what he she said they would do; follows through on commitments
  • Communicating Effectively - Expresses ideas and information in a clear and concise manner; tailors message to fit the interests and needs of the audience; delivers information in a manner that is interesting and compelling to the listener
  • Pursuing Self-Development - Demonstrates ambition and desire to move forward in his/her career; engages others in discussions about career development; seeks feedback on ways to increase his/her performance; takes advantage of opportunities to build new skills and capabilities
  • Serving Customers - Builds strong relationships with customers; stays aware of customer needs, concerns and satisfaction; responds promptly to customer questions and requests; effectively manages
  • Supporting Change - Enthusiastically participates in new change initiatives and programs; focuses on reasons why changes will work and how they will be beneficial
  • Supporting Organizational Goals - Actively supports organizational goals and values; demonstrates enthusiasm toward the company's goals and mission; aligns actions around organizational goals
  • Working with Diverse Populations - Shows respect for the beliefs and traditions of others; encourages and promotes practices that support cultural diversity; discourages behaviors or practices that may be perceived as unfair, biased, or critical toward people with certain backgrounds