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Iowa Department of Administrative Services Compliance Officer 2 in Des Moines, Iowa

Compliance Officer 2

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Compliance Officer 2

Salary

$67,350.40 - $104,187.20 Annually

Location

Des Moines - 50315 - Polk County, IA

Job Type

Full-time

Job Number

25-01568

Agency

216 Department of Insurance & Financial Services - Insurance

Opening Date

12/16/2024

Closing Date

1/1/2025 11:59 PM Central

LinkedIn Tag

#LI-POST

Point of Contact

employment@iid.iowa.gov

  • Description

  • Benefits

  • Questions

Job Description

The Department of Insurance and Financial Services is seeking a detail-oriented and dedicatedCompliance Officerto join our regulatory team. This position is in the Securities and Regulated Industries Bureau located in Des Moines, Iowa.

The selected candidate will be responsible for investigating and examining the operations of pre-need funeral establishments, perpetual care cemeteries, service companies, and continuing care retirement communities to ensure compliance with state laws and rules. The role requires the ability to conduct thorough examinations, review financial records, and provide oversight of the proper management of funds intended for the selected services. The ideal candidate will possess a keen eye for detail and the ability to carry out investigations with integrity and professionalism.

Key Responsibilities:

  • Conduct Examinations:Perform examinations of pre-need funeral establishments and perpetual care cemetery funds for compliance with state laws, regulations, and industry standards.

  • Financial Review:Analyze financial records, including trust accounts, insurance policies, and investment statements to ensure proper fund management and compliance.

  • Investigate Complaints:Investigate complaints and potential violations related to pre-need funeral contracts and perpetual care cemetery operations.

  • Reporting & Documentation: Prepare detailed investigative reports, findings, and recommendations for enforcement actions when necessary. Maintain accurate records and documentation in compliance with requirements.

  • Collaboration: Work closely with other state agencies, legal counsel, and industry professionals to address compliance issues and develop best practices for enforcement.

Skills:

  • Excellent analytical, auditing, and investigative skills.

  • Ability to interpret complex financial data and documents.

  • Strong written and verbal communication skills, including the ability to prepare clear and concise reports.

  • Attention to detail and the ability to work independently with minimal supervision.

  • Proficient with office software and database management systems.

Additional Requirements:

  • Ability to travel within the state as necessary for examinations and investigations.

  • Strong ethical standards and a commitment to maintaining confidentiality.

  • Ability to interact professionally with industry professions and the public.

    Benefits:

    At the State of Iowa, we are committed to your well-being. As a valued team member, you'll enjoy a comprehensive benefits

package that includes:

  • Paid Time Off: Enjoy vacation with accruals that rollover on a yearly basis, sick leave with no limits on accrual and 9 paid holidays per year.

  • Great Benefits: Excellent Health, Dental, and Vision Insurance Options.

  • Retirement Plan: IPERS Retirement package and an option for a deferred compensation plan.

  • Flexibility: Flexible Spending Accounts (medical and dependent care).

  • Life Insurance: Free Life Insurance.

  • Support: Employee Assistance Programs and Employee Discount Programs.

    To learn more about the benefits of working with the State of Iowa, visit our benefits webpage. (https://iowa.attract.neogov.com/recruitment/p/benefits)

Minimum Qualification Requirements

Applicants must meet at least one of the following minimum requirements to qualify for positions in this job classification:

1)Graduation from an accredited four-year college or university with a degree in any field, and experience equal to five years of full-time work in investigative or closely related work which involved: preparing interpretative or administrative orders, rules, or regulations which have the effect of law; or interpreting and enforcing federal or state laws governing health care administration; or quality assurance review to determine, through internal audit or analysis, the level of compliance with program requirements; or drafting, negotiating, or examining contracts or related documents required for organizational operations.

2) Graduation from an accredited four-year college or university with a degree in any field, and experience equal to five years of full-time, professional-level work involving the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review as determined through internal audit or analysis of the level of compliance to program requirements.

3) Graduation from accredited school of law and experience equal to two years of full-time work as described in number one or two or in the practice of law.

4) A total of nine years of education and/or full-time experience (as described in number one, two, or three), where thirty semester hours of accredited college or university coursework in any field equals one year of full-time experience.

5) Current, continuous experience in the state executive branch that includes experience equal to two years of full-time management/supervisory work in the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review.

6) Current, continuous experience in the state executive branch that includes experience equal to eighteen months of full-time work as a Compliance Officer 1.

For additional information, please click on thislink to view the job description. (https://das.iowa.gov/sites/default/files/hr/documents/class_and_pay/JobClassDescriptions/ComplianceOfficer2-00641.pdf)

Why Choose the State of Iowa?

At the heart of our commitment to excellence is a dedication to our most valuable asset – our employees. Discover the outstanding benefits that set us apart as an employer of choice.

Our Robust Benefits Package Includes:

Competitive Compensation:

Enjoy a competitive salary that reflects directly on your skills and expertise.

Keep in mind, your wage is just one part of your total compensation. Unlock the complete value of your employment with the State of Iowa by using our user-friendlyTotal Compensation Calculator (https://das.iowa.gov/media/3773/download?inline) .Gain insights into your comprehensive annual compensation, including salary and State-provided benefits.

Health and Wellness:

Prioritize your well-being with our comprehensive health plans, including medical, dental, and vision coverage. Enjoy the peace of mind knowing that the State of Iowa covers 90% of the premiums, providing you and your loved ones with excellent coverage at a remarkably low cost.

Retirement Planning:

We are proud to offer the Iowa Public Employees Retirement System (IPERS). A defined benefit plan, IPERS benefits are guaranteed for life, meaning once you retire, you will receive the same monthly benefit for the remainder of your life (once vested). We invest in your long-term financial well-being, so you can retire with peace of mind.Click here to learn more about IPERS (https://ipers.org/members) .

Paid Time Off:

Life is unpredictable, and at the State of Iowa, we understand the importance of work-life balance. Our leave policies, including paid holidays, vacation, and sick leave with unlimited accrual, ensure you have the flexibility you need for personal and family matters.

Professional Development:

Elevate your career with continuous learning opportunities. We support your growth through training programs, workshops, and tuition reimbursement.

Employee Assistance Program (EAP):

We care about your well-being beyond the workplace. Access confidential counseling, resources, and support through our Employee Assistance Program.

Diversity and Inclusion:

Be part of a diverse and inclusive workplace that embraces all backgrounds and perspectives. We believe diversity is a strength that drives innovation.

Join Us - Elevate Your Career:

Ready to elevate your career with the State of Iowa?Click here (https://iowa.attract.neogov.com/recruitment/p/benefits) to explore more about our unparalleled benefits and discover what makes us unique. Your success is our priority!

01

Do you understand that the answers to all of the following questions must be truthful, honest, and accurate to the best of your ability? Please read all questions and answers thoroughly and make sure you understand them completely.Ensure the answers to your questions match the information filled out on your application and the attachments you have uploaded. If the answers to your questions are inconsistent with your application information or uploaded attachments, you will be given zero points for the question.Knowingly misrepresenting the facts when submitting any information related to an application, examination, certification, appeal, or any other facet of the selection process will result in your disqualification from this application and future employment with the state of Iowa.

  • Yes - I understand and agree.

  • No

    02

    PLEASE READ CAREFULLY

Have you filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq?

  • No - I have NOT filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq

  • Yes - I HAVE filed a registration statement pursuant to the federal Foreign Agents Registration Act of 1938, as amended, 22 U.S.C. §611 et seq

    03

    Have you graduated from an accredited four-year college or university?IF YES -How many years of experience do you have of full-time investigative or closely related work which involved: Preparing interpretative or administrative orders, rules, or regulations which have the effect of law;ORInterpreting and enforcing federal or state laws governing health care administration;ORQuality assurance review to determine, through internal audit or analysis, the level of compliance with program requirements;ORDrafting, negotiating, or examining contracts or related documents required for organizational operations?

  • I have not graduated from an accredited four-year college or university

  • I have graduated from an accredited four-year college or university and have less than five years of the experience identified

  • I have graduated from an accredited four-year college or university AND have five years or more of the experience identified

    04

    Have you graduated from an accredited four year college/university? IF YES - How many years of experience do you have of full-time professional-level work involving the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review as determined through internal audit or analysis of the level of compliance to program requirements?

  • I have not graduated from an accredited four-year college or university

  • I have graduated from an accredited four-year college or university and have less than five years of the experience identified

  • I have graduated from an accredited four-year college or university and have five years or more of the experience identified

    05

    Have you graduated from an accredited school of law? IF YES - How many years do you have of full-time work in the practice of law or in full-time investigative or closely related work which involved: preparing interpretative or administrative orders, rules, or regulations which have the effect of law; or interpreting and enforcing federal or state laws governing health care administration; or quality assurance review to determine, through internal audit or analysis, the level of compliance with program requirements; or drafting, negotiating, or examining contracts or related documents required for organizational operations; or full-time, professional-level work involving the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review as determined through internal audit or analysis of the level of compliance to program requirements?

  • I have not graduated from an accredited school of law

  • Less than two years of the experience identified

  • Two years or more of the experience identified

    06

    How many years do you have of a combination of post high school education and/or full-time investigative or closely related work which involved: preparing interpretative or administrative orders, rules, or regulations which have the effect of law;ORInterpreting and enforcing federal or state laws governing health care administrationORQuality assurance review to determine, through internal audit or analysis, the level of compliance with program requirementsORDrafting, negotiating, or examining contracts or related documents required for organizational operationsORfull-time, professional-level work involving the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review as determined through internal audit or analysis of the level of compliance to program requirements? Note: 30 semester hours equals one year of experience.

  • I do not have any of the combined education and/or experience

  • Less than five years of the combined education and/or experience

  • Five years to less than nine years of the combined education and/or experience

  • Nine years or more of the combined education and/or experience

    07

    Are you a current State of Iowa employee - executive branch? IF YES - How many months of experience do you have in the classification of Compliance Officer 1 for the State of Iowa?

  • I am not a current State of Iowa employee

  • I have no experience in the classification of Compliance Officer 1 for the State of Iowa

  • Less than 18 months of experience in the classification of Compliance Officer 1 for the State of Iowa

  • 18 months or more of experience in the classification of Compliance Officer 1 for the State of Iowa

    08

    Are you a current permanent State of Iowa employee? IF YES - How many years do you have in the state executive branch (IOWA) of full-time management/supervisory work in the interpretation and enforcement of federal and state laws or department policies and procedures or quality assurance review?

  • I am not a current state of Iowa employee

  • I am a permanent State of Iowa employee and have less than two years of the required experience

  • I am a permanent State of Iowa employee and have two years or more of the required experience

    Required Question

Agency

State of Iowa

Agency

216 Department of Insurance & Financial Services - Insurance

Address

1963 Bell Ave

STE 100

Des Moines, Iowa, 50319

Website

https://iid.iowa.gov/

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