Licensing, Compliance and Regulatory Specialist
Licensing, Compliance & Regulatory Specialist
Insurance | Legal & Compliance
A privately held, family‑owned insurance wholesaler is seeking a Licensing, Compliance & Regulatory Specialist to join its Legal team. This is a high‑visibility role with ownership across surplus lines tax filings, multi‑state regulatory submissions, licensing, and compliance initiatives nationwide.
Unlike large, PE‑backed competitors, this organization operates with local decision‑making, minimal red tape, and long‑term stability. You'll work closely with senior leadership and play a key role in protecting and supporting a differentiated insurance platform.
What You'll Do
- Coordinate and execute rate, rule, and form filings across multiple lines of coverage on a nationwide basis
- File and remit surplus lines taxes and fees in compliance with state regulations
- Complete periodic regulatory filings and maintain compliance documentation for insurance entities
- Monitor and interpret state insurance statutes, regulations, and bulletins, ensuring ongoing compliance
- Respond to regulatory objections and resolve compliance issues accurately and efficiently
- Prepare and submit regulatory reports to state and federal agencies
- Manage licensing and agency appointments, ensuring agents are properly licensed and appointed
- Maintain and enhance compliance policies, procedures, and audit‑ready documentation
- Act as a regulatory resource to internal stakeholders and senior leadership
- Support continuous improvement initiatives to reduce operational risk and improve efficiency
What They're Looking For
- 3-5+ years of experience in insurance compliance, regulatory filings, or surplus lines
- Experience with multi‑state filings and surplus lines tax payments strongly preferred
- Strong working knowledge of state insurance department requirements
- Proficiency in Microsoft Office, especially Excel
- Highly detail‑oriented with strong analytical and communication skills
- Ability to manage multiple priorities in a deadline‑driven environment
Education: High school diploma required; Bachelor's degree preferred
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