Compliance Manager

2 months ago

Norwich, Norfolk, United Kingdom Baldwin Risk Partners Full time
Job Description:

The Surplus Lines Compliance Manager will lead the surplus lines team and be part of Baldwin Risk Partners' Insurance Operations Compliance Team (IOCT). This team ensures that all Baldwin Risk Partners excess lines placements comply with industry specifications, standards, regulations, and laws. They will be responsible for filing the taxes on non-admitted business, oversee the tracking of new and existing state statutes and regulations with respect to the excess lines markets, and review operational practices, to create, and enforce compliance plans, and perform regulatory risk management.

Key Responsibilities:
  • Surplus Lines Tax Processing: Process surplus lines tax transactions for all states within the deadlines set by those state entities. This includes, but is not limited to, affidavit processing, forwarding of policy to appropriate state (if required), and logging of transactions, etc.
  • Surplus Lines Tax Reporting: File all surplus lines tax reports on a monthly, quarterly, semi-annual, and annual basis; involves running of reports and verification of data to ensure accuracy of information making sure submitted information meets all filing deadlines.
  • Compliance Support: Assist business colleagues and product managers in the review, preparation, and submission of accurate and timely audit responses and fillings of rates, rules, and forms to state insurance departments.
  • Discrepancy Reconciliation: Reconciling and correcting discrepancies between the tax report and tax documentation received, including working with BRP Accounting teams and production teams to resolve invoicing errors.
  • Training and Development: Training business colleagues on Surplus Lines procedures and processes and updating internal systems and reporting data bases with the status of the tax filing support on each transaction.
  • Compliance Strategy: Working at the direction of the Chief Compliance Officer to design, implement, and enforce compliance strategy, policies and programs that are effective in preventing violations of statutes, regulations, and company policies.
  • Filing Objections and DOI Communication: Assist in responding to filing objections as well as communicate with the DOI and participate in meetings with the DOI to help negotiate and secure approvals of filings within established timeframes.
  • Regulatory Monitoring:
  • Ensure compliance with new and existing laws and regulations by having their team consistently monitor and research regulations, statutes, and bulletins to determine product applicability and impact.
  • Internal and External Audits: Oversee the preparation of materials and information required in response to internal and external regulatory audits, data calls, examinations and surveys and assist in drafting responsive communications to the requesting parties or regulatory authorities.
  • Process Improvement: Partner with BRP Operations and other key stakeholders to create workflow improvements to drive efficiencies that improve the IOCT strategy and business objectives.
  • Additional Responsibilities: Performing other related duties as assigned.
Requirements:
  • Education: Associate degree or equivalent combination of education and experience
  • Experience: 1-year professional work experience preferred
  • Industry Knowledge: Knowledge of insurance industry, admitted vs. non-admitted markets, is preferred but not required
  • Technical Skills: Microsoft Office proficiency with an emphasis in Excel
  • Soft Skills: Strong math and analytical skills, exceptional attention to detail, ability to organize and prioritize workload to meet deadlines, excellent communication and interpersonal skills, ability to prioritize and execute tasks independently in a fast-paced environment

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