Regulatory Compliance Specialist

We are in need of a Regulatory Compliance Specialist, who will report to our [Vice President of Operations] and be responsible for supporting, learning and ensuring compliance with all federal, state and local laws, rules and regulations to which our affiliated entities are subject.  The Regulatory Compliance Specialist will coordinate the preparation, review, adaption and filing of compliance related forms and documents, establish and implement compliance policies, procedures and controls, interact and develop positive relationships with state insurance regulators, and collaborate with internal and external resources on compliance-related matters. The Regulatory Compliance Specialist will be based in our Manchester, NH office, but will be willing to travel occasionally to perform necessary job duties and attend industry events.  


The Regulatory Compliance Specialist will have the following duties and responsibilities:

  • Track, maintain and file various documents, including surplus lines tax filings, premium reporting and other periodic compliance reporting for all entities in the group in all jurisdictions.
  • Track, maintain and file documents for both individual and entity licenses in all jurisdictions.
  • Track, investigate, record, and prepare responses to all consumer complaints from various regulatory bodies.
  • Establish, implement, and coordinate regulatory compliance procedures across the organization.
  • Keep abreast of regulatory changes and developments in the regulatory environment, in order to “see into the future” with respect to be prepared for compliance issues in order to identify and implement policies, procedures and processes to ensure organizational compliance and to manage risks.
  • Maintain complete and thorough files of all regulatory research, filings, processes, procedures, correspondence, inquiries, etc.
  • Establish, develop, foster and facilitate positive relationships with state regulators.

Required Skills/Abilities:

  • Bachelor’s degree or equivalent industry experience
  • An accredited qualification/designation in insurance regulatory and compliance preferred
  • Three or more years’ experience working in the insurance industry with emphasis in surplus lines preferred.
  • Insurance company, brokerage, and TPA experience preferred.
  • Knowledge of insurance industry regulations and governing laws.
  • Proficiency in Microsoft Office software including Excel and Word
  • Knowledge of LexisNexis or similar service preferred.
  • Exceptional analytical, investigative, and organizational skills.
  • Excellent interpersonal and communication skills.
  • Strong written and verbal communication skills
  • Strong prioritization, organization, and project management skills
  • Ability to travel as necessary

Opportunity for Advancement:

For the successful candidate that demonstrates the aptitude and a desire to learn and advance, this position may offer opportunities for advancement to positions of increasing responsibility and authority within the organization.


We offer a competitive compensation package, including bonus opportunity, health, dental, vision, life, disability insurance, matching 401k, paid time off and holidays.

Job Type: Full Time

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