Compliance Manager

Job Description: Compliance Manager

Location: Hybrid, Kennesaw, GA. 
Pay: $90K++ (depending on experience) 
Job Type: Direct hire 
Schedule: M-F, 8a-5p

Duties and Responsibilities:

• Conduct due diligence on insurance markets, managing general agents (MGAs), and retail insurance agents.
• Investigate and address potential compliance issues proactively.
• Collaborate with operational teams to establish and maintain effective compliance procedures.
• Develop and deliver educational programs and training sessions to support compliance knowledge transfer.
• Perform compliance risk assessments, audits, and monitoring activities to evaluate the effectiveness of existing procedures, recommending necessary updates.
• Manage relationships with external auditors, reviewing findings and implementing corrective action plans.
• Supervise surplus lines tax filings to ensure accuracy and timely submission.
• Track and manage licensing requirements, ensuring timely renewals for relevant business and staff certifications.
• Develop and oversee regulatory monitoring systems to identify and address compliance gaps.
• Coordinate the review, revision, and implementation of policies in response to new consumer financial regulations.
• Supervise and assess staff responsible for quality control and assurance in compliance functions.
• Interpret and apply audit and consumer compliance regulations across various departments.
• Stay informed of evolving regulatory requirements and industry best practices.
• Lead compliance-related projects, including change management initiatives.
• Support senior leadership in surplus lines and compliance matters.
• Evaluate future business initiatives for potential compliance risks.
• Prepare and present compliance reports to senior leadership and regulatory bodies.
• Oversee the tracking and resolution of consumer complaints.
• Conduct compliance training based on findings from assessments.
• Escalate significant compliance concerns to senior compliance leadership when necessary.
• Perform other compliance-related duties as assigned.

Qualifications:

• Bachelor’s degree in business, accounting, or a related field.
• Five years of regulatory compliance experience in the banking or financial services industry, with deep knowledge of consumer compliance regulations.
• Minimum of two years of supervisory experience.
• Strong proficiency in Microsoft Office, particularly Excel.
• In-depth understanding of reporting procedures and record-keeping requirements.
• Business acumen with a commitment to legal and regulatory integrity.
• Highly organized and diligent, with strong planning abilities.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities effectively.
• Compliance-related certification is preferred.

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