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Administrative Specialist - Compliance/Commissions

Alternate Locations:

NJ - Elmwood Park - EWP00, NY - New York (350 Fifth) - NY201

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General Description:

The Compliance Specialist is responsible for monthly and annual audit and review of business best practices in regards to Broker and Carrier activity.



  • Research AM Best rating for affiliates and non-affiliates prior to agreements being signed.
  • Audit on-boarding process for all new Brokers to Emerson Reid.
  • Ensure changes to Broker information are supported and processed in accordance with guidelines.
  • Maintain Carrier contacts and database on the shared drive
  • Complete My Benefit Advisor (MBA) appointment confirmation and audit.
  • Monitor insurance licensing for Brokers and notify appropriate staff 30 days prior to expiration.
  • Do a new business audit for specified Account Executives as needed.


  • Audit all data uploads put through Helpdesk tickets have been approved and processed.
  • Review all adjustments greater than $10,000 and five at random to ensure accuracy.


  • Audit Brokers in Vue
  • Send business practice email to all carriers
  • Create and send confirmations to payors
  • Identify Brokers with no activity in prior year and move to inactive status in system
  • Review carrier commission statements to ensure employees are not being paid as brokers.

Knowledge, Skills and Abilities:

  • Strong data entry skills are essential
  • Strong attention to detail
  • Ability to stay organized and focused in a busy environment
  • Good oral and written communication skills
  • Professional and dependable
  • Demonstrates cooperation and collaboration in a team setting
  • Timely, efficient and accurate administrative and data entry skills
  • Experience with Excel (data entry, formatting, formulas)
  • High School Diploma or GED degree required; Bachelor's degree a plus



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