Compliance

• Assist with maintaining contractual and regulatory compliance requirements across AGIA, carriers, clients, and insureds
• Summarize applicable requirements, identify potential risks and penalties, and route to leadership
• Coordinate annual regulatory mailings such as GLB and HIPAA: obtain notices, due dates, mailing instructions, oversee printing and mailings
• Complete carrier and state required mailings (Annual Address Change, Eligibility reminders, Secondary Addressee, CA Auto Renewal Reminder, MA Termination Notification)
• Run self-serve queries, coordinate with print vendors, and handle small volume print/mailings
• Implement OFAC and Patriot Act compliance initiatives: daily review of work queue, screen new business applications, run quarterly full file screenings, provide proof for audits
• Coordinate Compliance@agia.com inbox and Single Point of Contact (SPOC) process: monitor, log, assign actions, maintain tracking log, handle fraud/security incidents, log bulletins
• Coordinate creation, assignment, and tracking of training modules with Corporate Training and HR via LMS; ensure completion and archive reporting; manage carrier attestations
• Prepare client, carrier, and internal reports by compiling data, generating monthly/quarterly/annual reports, and maintaining scheduled carrier level reports and calendar
• Maintain contracts/agreements: monitor submission portal, process fully executed agreements, pull agreements from database, produce monthly volume reports
• Assist Compliance and Security teams with vendor management assurance

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