About the Role
Our client, a major national insurance organization, is seeking an experienced Surplus Lines Licensing Compliance Manager to own end-to-end oversight of surplus lines compliance across multiple jurisdictions. This is a senior, highly visible role sitting at the intersection of operations and regulatory oversight – you won’t just advise, you’ll own execution, governance, and controls for licensing, filings, premium tax reporting, and regulatory adherence.
As Licensing Compliance Manager you will partner closely with Legal, Compliance, and Finance, and serve as the primary point of contact during regulator inquiries and audits.
Must-Have Requirements
Active Licenses (Required – Non-Negotiable):
- Active Property & Casualty (P&C) License
- Active Surplus Lines License
- Active Accident & Health (A&H) License
Candidates must currently hold all three active licenses to be considered for this role.
Experience:
- Prior experience serving as a DRLP or performing DRLP-related responsibilities
- Experience with surplus lines filings, attestations, and compliance requirements
- Experience monitoring and managing premium tax reporting obligations
- Experience supporting regulatory examinations and audits
- Strong knowledge of state surplus lines regulations and licensing requirements
- Experience using NIPR and state insurance department filing systems
What You’ll Do
Regulatory Compliance
- Oversee surplus lines compliance processes across multiple jurisdictions
- Monitor regulatory changes and state DOI bulletins
- Assess operational impact of regulatory updates
- Ensure adherence to state surplus lines laws and licensing requirements
Premium Tax & Filings
- Monitor state premium tax requirements
- Coordinate premium tax payments with Finance
- Track state filing deadlines and manage filing calendars
Regulatory Documentation
- Affidavits and disclosures
- Broker responsible forms
- Policy documentation and record retention
- Stamping office submissions
Audit & Regulatory Support
- Support internal and external audits
- Assist with state DOI examinations
- Respond to regulatory inquiries
Governance & Controls
- Partner with Legal and Compliance teams
- Maintain and enhance internal controls
- Provide reporting and metrics to stakeholders
- Participate in governance committees and forums
Ideal Candidate Profile
- Active P&C, Surplus Lines, and A&H licenses (required)
- 5+ years of insurance industry experience
- Deep surplus lines regulatory knowledge
- Experience acting as a DRLP or equivalent responsible producer
- Premium tax reporting and remittance experience
- Multi-state regulatory compliance experience
- Regulatory audit and DOI exam support experience
- Strong stakeholder management skills
- Background in compliance, governance, operational risk, or controls
