SMS banner

Compliance Associate

Canandaigua, NY 14424, USA Req #648
Thursday, April 27, 2023

SMS is part of the Alliant family of companies. SMS is a full-service insurance marketing organization (IMO) dedicated to helping independent insurance agents leverage time, make more money and put their business in a position of distinction. Founded in 1982, SMS has grown into one of the industry’s foremost IMOs with more than 320 employees and 65,000 independent agents under contract. With products and agents in all 50 states, SMS offers the industry’s most complete IMO experience. We support every facet of an agent’s business, from our comprehensive senior product portfolio to our technology, services and marketing programs.

Social media link:

The Compliance Associate is responsible for providing support, practical management and guidance to ensure the Company’s operations are conducted in compliance with ethical business practices, Company and carrier policies and legal/regulatory requirements. Advise business units and protect the Company’s interests in all corporate, legal and regulatory matters.

Responsibilities for the Compliance Associate position includes but not limited to:

  • Managing carrier compliance investigations including recording notifications, proper internal and external communication, and tracking to ensure timely responses
  • Identify compliance trends through monitoring internal and external reporting and assisting in the development of compliance guidelines and tools
  • Review agent-created advertisements, social media and websites; directly provide guidance to internal and external parties
  • Assist with submission of marketing materials to carriers for approval and regulatory approval if necessary
  • Coordinate, record, maintain and monitor compliance records, reports and analysis ensuring that all data records are complete, accurate to ensure compliance with applicable federal and state laws and regulations
  • Assist with internal and external audits; and working with other departments on designated compliance matters
  • Assist Compliance Officer with administering and improving the Company’s Compliance Program
  • Assist with responses to alleged violations of rules, regulations, policies, procedures, and standards of conduct. Assist with proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Assist with statutory and regulatory monitoring and communication of updates throughout the Company and its downstream agents
  • Assist with the development and oversight of an effective compliance training program for the Company and its downstream agents and call centers, which include appropriate training for new employees as well as ongoing training for all employees
  • Assist with monitoring and coordinating the compliance activities of all business units, which includes tracking and reporting of key compliance metrics
  • Assist with identifying potential areas of compliance vulnerability and risk
  • Assist with development and implementation of corrective action plans for resolution of problematic issues


  • Bachelor’s Degree in Business or a related field and 1-2 years of compliance experience preferred
  • Insurance industry or related field (financial services or marketing) experience preferred
  • Customer Service Oriented
  • Carrier certification with MA/PDP carrier would be helpful

Equal Opportunity Employer; SMS participates in the E-Verify system.

“Successful people do those things that failures refuse to do.”


Other details

  • Pay Type Hourly
  • Min Hiring Rate $24.00
  • Max Hiring Rate $31.00
Location on Google Maps
  • Canandaigua, NY 14424, USA