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Novatae Risk Group · 8 hours ago

Surplus Lines & Compliance Manager - Wholesale

United States

Full-time

Onsite

Senior Level

6+ years exp

Novatae Risk Group is seeking a Surplus Lines & Compliance Manager to oversee surplus lines compliance and regulatory processes. This role involves managing compliance operations, ensuring accurate filings, and collaborating with various teams to maintain adherence to state-specific requirements.

ConstructionInsuranceManagement Consulting

Responsibilities

Manage surplus lines compliance operations including affidavits, tax filings, stamping office submissions, and diligent search requirements

Oversee producer appointments, renewals, and CE tracking across all applicable states

Coordinate with third-party vendors and platforms supporting surplus lines filings

Coordinate with corporate licensing to ensure compliance with state-specific producer licensing requirements

Ensure accuracy and timeliness of regulatory submissions and internal compliance documentation

Partner with accounting and finance teams to reconcile surplus lines taxes and related reporting

Maintain internal compliance procedures, checklists, and documentation standards for wholesale operations

Support internal audits, carrier reviews, and regulatory inquiries by gathering documentation and coordinating responses

Track regulatory deadlines and ensure proactive compliance with state-specific requirements

Assist with onboarding and offboarding compliance requirements for producers and staff

Identify process improvement opportunities to streamline compliance workflows and reduce operational risk

Provide guidance and training to internal teams regarding surplus lines and licensing requirements

Qualification

Surplus lines complianceState surplus lines lawsLicensingCompliance systemsVendor managementAuditsRegulatory inquiriesMultitasking skillsMicrosoft Office SuiteOrganizational skillsCommunication skillsCollaboration skillsProblem-solving skillsConfidentiality

Required

6–10 years of experience in surplus lines, agency appointments, or compliance operations within wholesale insurance, MGA/MGU, or brokerage environments

Strong working knowledge of state surplus lines laws, stamping office processes, and producer licensing requirements

Experience working with licensing and compliance systems such as RegEd, AgentSync, NIPR, or surplus lines filing platforms

Demonstrated experience supporting audits, carrier reviews, or regulatory inquiries

Strong organizational and multitasking skills with close attention to regulatory detail

Ability to manage high-volume, deadline-driven compliance activities

Clear and effective written and verbal communication skills

Strong collaboration skills across operations, finance, and brokerage teams

Proficiency in Microsoft Office Suite and compliance tracking systems

Sound judgment and problem-solving skills within established regulatory frameworks

Ability to handle confidential information with discretion and professionalism