Compliance Manager – Top 50 National Insurance Broker (REMOTE)
Professional Responsibilities
- Assist in implementing and executing the Company’s annual compliance plan.
- Monitor federal and state insurance laws, regulations, bulletins, and regulatory guidance affecting the organization.
- Maintain compliance calendars, regulatory inventories, and required reporting schedules.
- Assist with compliance risk assessments and tracking of remediation activities.
- Support development of compliance metrics, dashboards, and reporting for executive leadership.
- Ensure documentation supporting regulatory compliance is complete and organized.
- Coordinate responses to Department of Insurance inquiries, complaints, investigations, and examinations.
- Gather documentation and information requested by regulators.
- Maintain regulatory correspondence files and response tracking logs.
- Assist with complaint intake, investigation, documentation, and resolution.
- Monitor corrective actions resulting from regulatory examinations.
- Draft, review, revise, and maintain corporate compliance policies and procedures.
- Coordinate annual policy review processes across departments.
- Track policy approvals and publication.
- Maintain version control and policy repositories.
- Assist departments in implementing policy changes.
- Assist in developing training materials and communications.
- Help educate employees regarding compliance policies and regulatory requirements.
- Assist in preparing materials for Compliance Committee meetings, including agendas, minutes, and follow-up documentation.
- Identify compliance risks and document findings.
- Track corrective action plans through completion.
- Conduct regulatory research related to:
- Insurance producer licensing
- Consumer protection requirements
- Privacy laws
- Medicare regulations
- Surplus lines requirements
- Compensation disclosure requirements
- Department of Insurance guidance
Required Qualifications
- Bachelor’s degree.
- 2–5 years of experience in insurance compliance, legal, licensing, regulatory affairs, or risk management.
- Experience working within an insurance brokerage, insurance carrier, TPA, MGA, or regulatory agency preferred.
- Knowledge of insurance regulatory frameworks and producer licensing requirements.
- Strong analytical and organizational skills.
- Excellent written and verbal communication skills.
- Demonstrated ability to take ownership of assignments, build processes, identify opportunities for improvement, and independently drive projects from concept through implementation.
- High level of professionalism and confidentiality.
For additional information Contact:
Peter French
VP & Executive Recruiter, Legal Practice Lead
(443) 691-1494