Compliance Manager - P&C Insurance

**Please Note** Jencap is not accepting Agency/Search Firm submittals for this role**

The Compliance Manager is responsible for developing, implementing, and maintaining compliance programs that support the organization's wholesale brokerage operations, with a specific emphasis on Excess & Surplus (E&S) lines business. This role serves as the subject matter expert on insurance regulatory requirements, licensing, surplus lines regulations, market conduct standards, and operational compliance processes.

The Compliance Manager partners closely with brokerage leadership, producers, carrier partners, underwriting teams, licensing, accounting, and operations to ensure adherence to state insurance regulations, company policies, and industry best practices. This position plays a critical role in mitigating regulatory risk while supporting business growth across multiple jurisdictions.

Key Responsibilities

Regulatory Compliance & Governance

• Monitor and interpret state insurance regulations affecting wholesale brokerage and E&S business operations.
• Ensure compliance with surplus lines laws, filing requirements, tax regulations, diligent search requirements, and state-specific placement rules.
• Develop, maintain, and update corporate compliance policies, procedures, and controls.
• Provide regulatory guidance to producers, brokers, underwriters, and operational staff.
• Serve as the primary point of contact for regulatory inquiries, audits, examinations, and market conduct reviews.

Licensing & Producer Compliance

• Oversee agency, broker, and producer licensing activities across all operating jurisdictions.
• Monitor license renewals, appointments, continuing education requirements, and regulatory registrations.
• Ensure compliance with producer onboarding and termination processes.
• Partner with HR and leadership to maintain regulatory compliance related to employee licensing requirements.

E&S and Wholesale Brokerage Compliance

• Maintain expertise in E&S placement requirements and surplus lines regulations nationwide.
• Monitor adherence to diligent search documentation requirements and surplus lines disclosures.
• Review operational processes to ensure compliance with broker authority, binding authority agreements, and carrier requirements.

Risk Management & Auditing

• Conduct periodic compliance reviews and internal audits.
• Identify compliance gaps and implement corrective action plans.
• Track regulatory developments and provide risk assessments to senior leadership.
• Develop compliance monitoring metrics and reporting dashboards.
• Maintain documentation supporting regulatory requirements and audit readiness.

Training & Education

• Develop and deliver compliance training programs for brokers, producers, and operational teams.
• Communicate regulatory changes and emerging compliance risks throughout the organization.
• Promote a culture of compliance, ethics, and accountability.

Cross-Functional Collaboration

• Partner with legal, operations, finance, underwriting, and carrier relations teams on compliance initiatives.
• Assist with due diligence related to new markets, products, carriers, and strategic initiatives.
• Participate in system implementations and process improvement efforts to strengthen compliance controls.

Requirements:

Required

• Bachelor's degree in Business, Risk Management, Insurance, Finance, Legal Studies, or related field.
• 5+ years of insurance compliance, regulatory, legal, licensing, underwriting operations, or brokerage experience.
• Direct experience with wholesale insurance brokerage and E&S insurance markets.
• Strong knowledge of state insurance regulations and surplus lines compliance requirements.
• Understanding of producer licensing, market conduct, and regulatory reporting requirements.
• Excellent analytical, organizational, and communication skills.
• Ability to manage multiple priorities in a fast-paced environment.

Preferred

• Experience working with multi-state insurance operations.
• Familiarity with regulatory filing systems and surplus lines tax reporting processes.

Knowledge, Skills & Abilities

• Deep understanding of E&S insurance marketplace operations.
• Strong knowledge of wholesale brokerage workflows and carrier relationships.
• Ability to interpret complex regulatory requirements and translate them into practical business solutions.
• Proven ability to influence stakeholders and drive compliance initiatives across departments.
• Exceptional attention to detail and problem-solving capabilities.
• Strong verbal and written communication skills.
• Proficiency with agency management systems, licensing platforms, and Microsoft Office applications with an advanced knowledge of excel.

Any unsolicited resumes and candidate profiles submitted through our web site or to e-mail accounts of employees of Jencap are considered property of Jencap unless specifically engaged on the active search by a leader of the company. 

The base salary offered for the successful candidate will be based on compensable factors such as job-relevant education, job-relevant experience, training, licensure, demonstrated competencies, geographic location, and other factors. Discretionary incentive compensation may be awarded. Jencap also offers a range of benefits and programs, based on eligibility, which currently include but are not limited to; comprehensive health care coverage, a 401k plan, and tuition reimbursement.  Jencap is an emerging and rapidly growing leader in the industry and as such, we approach talent acquisition as an opportunity to identify the best talent. Therefore, the level of the role and compensation may vary depending upon the best available candidate.