SEC Compliance & Corporate Governance Specialist assisting with regulatory processes at WD - 40 Company. Collaborating with Legal, Finance, and Leadership teams for SEC filings and corporate records.
About the role
- Senior Manager of Compliance overseeing compliance operations related to insurance regulations at Tokio Marine HCC. Leading a team to ensure adherence to regulatory standards and internal guidelines.
Responsibilities
- Oversee and manage all aspects of regulatory compliance for the business unit.
- Coordinate and execute rate, rule, and form filings across multiple lines and states, collaborating with actuarial, legal, and business partners.
- Prepare and submit timely and accurate regulatory filings, including Surplus Lines tax and fee submissions.
- Review and interpret state insurance laws, regulations, and bulletins to assess impact and ensure compliance with filing requirements.
- Respond to regulator inquiries, objections, and requests for information, providing effective and timely resolutions.
- Maintain awareness of emerging regulatory developments that could impact company operations, products, or compliance procedures.
- Coordinate agency appointment processes and ensure all producer licensing and appointment requirements are met.
- Partner with corporate legal to review, negotiate, and approve legal agreements to confirm compliance with regulations, corporate standards, and risk management expectations.
- Collaborate with the VP of Underwriting and COO to create, update, and implement the underwriting rules and guidelines library.
- Participate in the maintenance and development of Public Risk Group’s product suite.
- Conduct periodic quality control audits on underwriting activities to confirm alignment with guidelines and compliance controls.
- Support underwriting operations by monitoring production metrics, loss experience, and competitive trends to identify areas of improvement.
- Lead and mentor a compliance team, providing guidance, training, and performance management.
- Establish team goals, track progress, and promote accountability and collaboration.
- Champion a culture of compliance, integrity, and continuous improvement across the organization.
- Partner with senior leadership to align compliance strategy with broader business objectives and operational initiatives.
Requirements
- Education: Bachelor’s degree in Business, Risk Management, or a related field required; advanced professional designation (CPCU, AIC, CCEP) preferred.
- Preferred Education: Juris Doctor (JD) strongly preferred.
- Experience: Minimum 8 years of progressive experience in insurance compliance, regulatory affairs, or underwriting management.
- Deep understanding of insurance regulatory frameworks, policy forms, and rate/rule filing processes.
- Proven record leading teams and managing compliance operations in a complex, fast-paced environment.
- Proficiency with compliance and underwriting systems, regulatory filing platforms, and project management tools.
- Strong analytical ability to interpret complex regulations and translate them into practical operational requirements.
- Excellent communication and relationship building skills to engage regulators, internal stakeholders, and external partners confidently.
- Strategic mindset with the ability to balance regulatory requirements and business objectives.
- Familiarity with IT security and data privacy considerations related to compliance systems.
- Experience operating under regulatory agreements is a plus.
Benefits
- Competitive salary and comprehensive benefit package
- Strong learning culture with ongoing development opportunities
- Opportunities for growth and career advancement
- Comprehensive medical, vision, and dental coverage, with eligibility beginning on your first day of employment
- Basic life and disability insurance
- 401(k) plan with 6% company match
- 20 days of PTO and two floating holidays (prorated)
- Approximately 11 paid holidays and volunteer time off
- Paid parental leave
- Access to our award-winning wellness program, including mental health services, fitness network membership, and a complimentary Headspace subscription
- Student loan matching program
- Employee discount program
- An opportunity to do meaningful work and love what you do
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