Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Louis G. Mueller III

San Tan Valley,AZ

Summary

Self-driven and results-focused management professional with demonstrated success in leadership of regulatory compliance, legal research and analysis, account management, and product filings to the state department of insurance. Knowledgeable and motivated leader with strong business acumen, and the ability to identify strategic opportunities to develop new business, expand accounts, and increase revenues through proactive customer engagement to optimize organizational goals. Collaborative and creative problem solver with integrity and a mature understanding of the need to use tact and persuasion to engage clients and build trust, identify, and satisfy their needs, thus maximizing long-term client retention and satisfaction. Highly skilled Regulatory Compliance Analyst with experience in implementing and monitoring compliance programs. Possess strong understanding of regulatory requirements, risk management, and quality control. Demonstrated strengths include exceptional analytical skills, ability to identify potential issues and develop effective solutions. Past roles have shown significant improvement in operational efficiency and reduction of compliance risks.

Overview

28
28
years of professional experience
1
1
Certification

Work History

Underwriter III, Collectibles Insurance Services

Global Indemnity Group
Bala Cynwyd, PA
02.2022 - Current
  • Review insurance applications for compliance and adherence
  • Assess clients' background information and financial status
  • Liaise with specialists to gather information and opinions
  • Weight loss exposures and determine underwriting alternatives
  • Draw up a quotes for competitive insurance premiums
  • Negotiate and define the specific terms of insurance policies with brokers or policyholders
  • Keep detailed records of policies underwritten and decisions made
  • Develop and maintain a profitable book of business for the insurer
  • Follow applicable insurance laws
  • Review policy coverages with insured and agents
  • Currently owns American Reliable Insurance Company

Team Lead, Regulatory Manager, Supervisor, Senior Regulatory Analyst

American Reliable Insurance Company
Scottsdale, AZ
11.2007 - 02.2022
  • Manage support for key compliance projects with legal research and analysis, product development, regulatory reporting, and plan implementation.
  • Ensure guarantee of product compliance maintenance.
  • Research & Analysis - Lend support to other departments as compliance expert with research and analysis of regulation and insurance department guidelines, state law, and other regulatory requirements.
  • Ensure all compliance bulletins are accurate with proactive legal research for further review or action prior to distribution.
  • Product Filings - Manage all submissions of required product filings to the state department of insurance.
  • Oversee analysis and resolution of any DOI objections and cite statutory references.
  • Designed a step-by-step new employee training guide for requirements of state filings.
  • Regulatory Advisor - Provide counsel and assistance to attorneys on legal research and Market Conduct Exams.
  • Assist product management and actuaries on reports or revisions, and assist with other special projects and expertise to various departments requiring clarification on regulatory matters.
  • Process Improvements - Developed a paperless work environment and implemented standards for proper storage of paperless documents.
  • Training - Assist with Department of Insurance Exams.

Claims Adjuster

Safe Auto Insurance Company
Phoenix, AZ
06.2004 - 11.2006
  • Managed review, processing and settlement of personal lines auto claims.
  • Claims Analysis & Processing - Processed auto claims with examination of claims, negotiation with claimants or with attorneys to successfully resolve third party bodily injury claims.
  • Creative Problem Solving - Collaborated with legal counsel regarding claims requiring litigation, identified irregularities including overpayments or underpayments.
  • Report Documentation - Reviewed all settled claims to ensure compliance with all policies and procedures and that settlements were processed correctly.
  • Developed final reports of investigations.

Regulatory Compliance Filing Analyst II

Scottsdale Insurance Company
Scottsdale, AZ
03.1998 - 04.2004
  • Liaison between line underwriting staff and the government filing unit of Regulatory Compliance to ensure accuracy and compliance with all regulatory requirements including organizational policies and procedures.
  • Quality Control - Managed research, assembly and communications to attain final approval with department of insurance.
  • Project Support - Trained in form development projects to enhance product turnaround time to market.

Education

Bachelor of Arts - Business Administration Management, Human Resources

University of Phoenix
Phoenix, AZ
01.1997

Skills

  • Regulatory compliance
  • Legal research and analysis
  • Client relations and service
  • Quality control
  • Staff leadership and training
  • Account management
  • Client engagement and retention
  • SERFF state filings and IRFS
  • Project management
  • Budget and cost control
  • Insurance regulations
  • Continuous improvement
  • Training and development
  • Cross-functional collaboration
  • Compliance review
  • Regulatory knowledge
  • Market research
  • Policy development
  • Team leadership
  • Problem solving
  • Effective communication
  • Documentation review
  • Building strong relationships
  • Influencing business growth

Certification

Market Conduct Management

Timeline

Underwriter III, Collectibles Insurance Services

Global Indemnity Group
02.2022 - Current

Team Lead, Regulatory Manager, Supervisor, Senior Regulatory Analyst

American Reliable Insurance Company
11.2007 - 02.2022

Claims Adjuster

Safe Auto Insurance Company
06.2004 - 11.2006

Regulatory Compliance Filing Analyst II

Scottsdale Insurance Company
03.1998 - 04.2004

Bachelor of Arts - Business Administration Management, Human Resources

University of Phoenix
Louis G. Mueller III