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Compliance Manager in Charlotte, NC at QuestPro Consultants

Date Posted: 1/18/2019

Job Snapshot

Job Description

The Sr. Compliance Manager assists the Multinational Services Director / President with managing the company’s insurance compliance needs. This includes monitoring, researching and communicating regulatory and case law requirements to leaders across the organization; monitoring and implementing Group compliance requirements,  facilitating organizational decisions around compliance and implementation of key compliance initiatives; and providing assistance to licensing and agency management activities. 


  • Assist with contracts, compliance and regulatory issues.
  • Research and coordinate the implementation of required policy and procedure changes per US federal and state mandates as well as  Group requirements.
  • Identify changes in regulations and communicate the impact to business area leaders.
  • Ensure compliance issues with the organization are being appropriately evaluated, investigated and resolved.
  • Collaborate with the business areas to identify, review and communicate key controls for mitigating risk.
  • Assist in managing relationships with regulatory bodies, including Departments of Insurance (DOIs) and Industry Advocacy Groups and with Attorneys
  • Coordinate responses to complaints from DOIs and other regulatory bodies.
  • Assist in the development and implementation of procedures on proper business practices and communicate these to the business areas and producers
  • Monitor the licensing  of sub-producers, as well as US adjusters
  • Develop and maintain compliance deliverables related to federal and state regulations
  • Advise and direct multiple and concurrent legislative or regulatory compliance initiatives designed to support the organization’s response to the identified regulatory requirements
  • Work with the business areas to resolve regulatory compliance issues
  • Monitor corrective action plans and report on progress
  • Provide consultative services to business areas on the appropriate controls needed to ensure ongoing regulatory compliance 
  • Manage / Lead all corporate audits including GIA and other  outside audits for underwriting and claims.

Required behaviors for all positions

  • Communicate with co-workers, management customers, vendors, and others in a courteous and professional manner
  • Conform with and abide by all Company codes, regulations, policies, values, work procedures and instructions
  • Adherence to Company attendance policy

  • 8-10 years of experience, minimum. 
  • This person will be the point person for all the state regulators / state insurance commissioners. 
  • Established tenure preferred