SVP, Regulatory Compliance

Overview

In this role you will design and oversee the regulatory compliance framework for a multi-line specialty MGA, reporting to the Group COO. You will balance strategic oversight with hands-on execution across policy forms, reporting, QA controls, and system testing to support complex insurance programmes and cross-functional expansion. You will guide compliance across reinsurance, capital markets and broker relationships, shaping how we meet regulatory requirements and deliver compliant products. This is a high-impact opportunity to lead regulatory excellence in a growth-focused, multi-state environment.

Responsibilities

• Review, develop and maintain insurance policy forms, digital libraries and issuance systems; advise on ISO rules and effective-date impacts
• Oversee compliance testing for underwriting system changes, policy documentation and risk capital updates
• Establish QA and internal controls; conduct annual reviews of policies and procedures across platform MGAs
• Review risk capital contracts to ensure regulatory compliance and alignment with best practice
• Ensure accurate and timely carrier, statutory and regulatory reporting; manage compliance inquiries and maintain Lloyd’s ATLAS records
• Oversee surplus lines tax tracking, filings and compliance across all states
• Manage producer onboarding, licensing, oversight and contractual updates across retail and wholesale broker networks
• Provide regulatory guidance on state-specific requirements and ensure staff receive appropriate compliance training
• Manage relationships with key compliance vendors

Key requirements

• Bachelor’s degree in a relevant field
• 10+ years of hands-on insurance compliance experience, preferably in a multi-unit MGA or Program Administrator
• Extensive knowledge of surplus lines tax, state filing requirements, and multi-state compliance regulations
• Proven track record of developing proprietary manuscript forms and standard ISO forms
• Experience managing forms, system testing, and policy issuance platform compliance
• Direct experience working with major carriers including the Lloyd’s insurance market

• leadership and people management
• clear communication and stakeholder management
• cross-functional collaboration
• ISO form development
• policy issuance platforms and QA/testing
• regulatory reporting processes

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