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Director of Compliance

Company: LHM Automotive Group
Location: Draper
Posted on: May 28, 2023

Job Description:

Join a Winning Team at Larry H. Miller Automotive Group

If you're looking for an opportunity to be appreciated and involved in your career, your search is complete. We have a great history of providing excellent career opportunities for individuals who want to grow within the company.

Follow Larry H. Miller Dealerships on Facebook and LinkedIn to learn more about us and current open positions.


We offer you and your family members a comprehensive benefits package including medical, vision, prescription drugs, dental, life and disability insurance, and a 401(k)-retirement plan.

Health Care
Paid Time off
Paid Holidays
401(k) Plan
Dental Care
Disability Insurance
Life Insurance
Flexible Spending Account
Employee Assistance Program
Employee Discounts
Wellness Program

Position Title: Director of Legal & Compliance, Total Care Auto

The Director of Legal & Compliance is responsible for preparing, filing and tracking regulatory compliance submissions with an emphasis on the companies' motor vehicle extended warranty and ancillary / F&I programs and products. This includes coordinating, compiling and/or submitting contract/form and/or rate filings requiring state approval, as well as maintaining entity licenses and renewal documentation, in compliance with various state regulatory requirements. In addition, the director performs legal research and analysis to ensure that the company's products and processes remain compliant. The Director supports product development, regulatory reporting, and drafts plans according to company needs and strategies. This position requires working closely with internal business units to ensure that timely and accurate filings are made. This also requires acting as a liaison with external clients marketing or financing the companies' products such as lenders, auto dealerships and/or insurance agencies. Includes legal research in support of such programs proposed or offered throughout the United States.


Duties include but are not limited to:

- Develop and oversee a comprehensive compliance program that adheres to all state regulations and insurance department guidelines. Implement processes and internal controls to monitor compliance.

- Research and analyze state laws, regulations and insurance department guidelines and provide legal and compliance expertise so as to apply to policy text and company practices.

- Draft contract language that is clear, concise and which complies with state and federal laws as well as achieving company desired results.

- Assist in the preparation of program-specific form filings requiring state approval or filing; This may include products offered as property & casualty insurance, extended warranty/service contacts, GAP waivers and other related ancillary products.

- Coordinate pre-filing review of same with management and/or outside regulatory or legal counsel as well as outside actuarial services, as necessary; Also coordinate pre-filing review by lenders, credit unions and other external partners, as required; Document and integrate required revisions, as appropriate, prior to final submission.

- Oversee submission of all required product filings, via SERFF, or other filing methods as required by state regulators. Form filings include but not limited to, coverage forms, endorsements and related regulatory filings.

- Manage and coordinate and/or support implementation process to ensure proper systematic use and application of the companies' product forms, rules and rates.

- Prepare bulletins or memoranda for internal or affiliated business groups and/or external partners to communicate updates to forms, rates, revisions to procedures, as well as changes in state rules, regulations and legislation.

- Oversee and maintain in a current, comprehensive and accurate manner, the companies' product form and/or rate manual library, state approvals, license documentation and related reference materials.

- Prepare or assist in preparation of responses to inquiries from state insurance departments

- Bachelor's Degree plus minimum of five years of related experience OR a combination of college education and experience equivalent to 5 years. U.S. law degree and a member of the bar preferred but not required.

- Good working knowledge of relevant state Insurance Department filing requirements.

- Previous use of SERFF in filing product forms/rates in states for approval.

- Experience in research of legislative matters and relevant product coverage forms.

- Strong organizational skills.

- Strong written and verbal communication skills.

- Ability to effectively interact with internal employees, insurance departments, and external representatives.

- Ability to establish and maintain relationships and work effectively with a wide variety of individuals.

- Ability to effectively research, obtain and understand statutory and insurance regulatory information.

- Working knowledge of legal terminology and the ability to perform legal research.

- Ability to deal with ambiguity and the corresponding ability to make decisions or recommendations on incomplete information.

- Ability to process complex time sensitive data and information from multiple sources, make decisions based on this data, and to effectively communicate the related required actions to a broad audience.

- Knowledge of state insurance department filing systems such as SERFF and other required methods of regulatory submissions.

- Project and time management skills. Ability to multi-task, set priorities and meet deadlines.

- Ability to work both independently and in a team environment.

- Proficient in use of MS Office (specifically, Excel & WORD).

- Ability to learn and work with other company-specific data systems and reporting tools.

This position requires the ability to sit for long periods of time, hear and converse over the telephone, read and understand printed materials and key data into various computer systems.

Keywords: LHM Automotive Group, Draper , Director of Compliance, Executive , Draper, Utah

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