VP, Compliance Operations

This is a fully remote position, open to applicants in New York.

📋 Description

• Lead the operational execution of essential compliance initiatives, encompassing Financial Crimes compliance, surplus lines tax calculations and filings, licensing and appointments, sanctions screening, escalation, reporting, and related regulatory obligations.

• Ensure that programs are in alignment with the Company’s Compliance Risk Framework and relevant federal and state regulatory requirements.

• Oversee the creation, documentation, and upkeep of policies, procedures, and controls for operational compliance functions.

• Implement and improve risk-based monitoring, quality assurance, and testing protocols.

• Establish and monitor KPIs and KRIs that assess operational effectiveness, accuracy, timeliness, and adherence to regulations.

• Enhance governance around issue identification, escalation, root cause analysis, and remediation tracking.

• Provide guidance to underwriting, distribution, finance, and other business partners on licensing, surplus lines, and financial crimes topics.

• Collaborate with Legal, ERM, Internal Audit, and business leadership on control design and regulatory alignment.

• Assist with regulatory examinations and inquiries.

• Build and nurture high-performing teams, including resource allocation, expertise development, and succession planning.

• Support special projects and undertake additional responsibilities as assigned.

⛳️ Requirements

• Over 10 years of progressive experience in insurance compliance, surplus lines operations, licensing operations, or related risk functions within a Property & Casualty insurance organization.

• Extensive knowledge in one or more areas: surplus lines tax and multi-state filing obligations; producer licensing and regulatory appointment requirements; Financial Crimes/sanctions compliance.

• Experience in managing operational compliance teams and handling high-volume regulatory processes.

• Strong comprehension of state insurance regulations and regulatory filing requirements.

• Experience in designing and enhancing internal controls, monitoring frameworks, and operational metrics.

• Ability to translate regulatory requirements into scalable and well-controlled business processes.

• Experience in supporting regulatory examinations and addressing regulator inquiries.

• Strong leadership presence with the capability to influence and collaborate across different business lines.

• A Bachelor’s degree is required.

• Relevant certifications such as CPCU, CCEP, AML certifications, or similar credentials are advantageous.

🏝️ Benefits

• Opportunities for professional and personal growth through on-the-job training and professional development.

• A supportive, open, honest, and collaborative work environment.

• A community-focused culture that emphasizes care, respect, and support.

• Consideration of equity in compensation.