Surplus Lines Analyst

DOXA Insurance Holdings•Fort Wayne, IN

About The Position

The Surplus Lines Tax Compliance Analyst is responsible for managing surplus lines tax filings and ensuring compliance with applicable state regulations across multiple jurisdictions. This role partners closely with Compliance, Legal, Accounting, and production teams to reconcile discrepancies between tax reports, policy documentation, and supporting records to ensure accurate and timely filings. The analyst prepares, reviews, and submits surplus lines tax reports, affidavits, and related regulatory filings while maintaining adherence to filing deadlines and statutory requirements. This position is also responsible for researching, monitoring, and implementing regulatory and tax rule changes impacting surplus lines compliance processes. In addition, the role supports operational efficiency by coordinating the collection and submission of required documentation to state regulators and maintaining accurate filing records and audit-ready documentation. The ideal candidate is highly detail-oriented, organized, and capable of managing multiple deadlines in a fast-paced insurance environment.

Requirements

Minimum of 3+ years of experience within the insurance industry.
Minimum of 2+ years of experience handling surplus lines tax filings, regulatory reporting, or a related compliance function.
Working knowledge of state surplus lines regulations, tax filing requirements, and non-admitted insurance compliance obligations.
Solid understanding of insurance terminology, policy structures, and transaction workflows.
Intermediate to advanced proficiency in Microsoft Office applications, particularly Excel.
Strong analytical, problem-solving, and data reconciliation skills with exceptional attention to detail.
Advanced research capabilities with the ability to interpret regulatory requirements and communicate findings effectively.
Ability to analyze and execute complex regulatory and filing requirements across multiple jurisdictions.
Strong written and verbal communication skills with the ability to collaborate effectively across operational, accounting, legal, and production teams.
Highly organized with the ability to self-manage workload, prioritize competing deadlines, and work independently in a fast-paced environment.
Demonstrated ability to maintain confidentiality and handle sensitive regulatory and financial information with professionalism and accuracy.

Nice To Haves

Bachelor’s degree in Risk Management & Insurance, Business Administration, Legal Studies, or a related field preferred.
Equivalent industry experience may be considered in lieu of a degree.
Experience working within MGA, wholesale brokerage, carrier, or delegated authority environments is strongly preferred.
Familiarity with broader insurance operations, including underwriting, accounting, licensing, and policy administration processes, is strongly preferred.
Experience with policy administration systems, compliance platforms, and Inscipher is strongly preferred.

Responsibilities

Process surplus lines transactions across all applicable jurisdictions, including affidavit review, policy forwarding, and transaction processing activities.
Prepare, review, and file surplus lines tax reports on a monthly, quarterly, semi-annual, and annual basis, ensuring accuracy and adherence to all filing deadlines.
Escalate penalties, notices, or compliance concerns to leadership as appropriate.
Reconcile discrepancies between tax filings, policy documentation, and invoicing records, partnering with production and operational teams to resolve issues efficiently.
Coordinate the timely payment of surplus lines taxes, stamping fees, and related regulatory fees to the appropriate jurisdictions.
Assist in the development, documentation, and continuous improvement of surplus lines tax processes, procedures, and controls.
Research and interpret state surplus lines statutes, regulations, and legislative updates to support ongoing compliance efforts.
Maintain accurate, organized, and audit-ready filing records and supporting documentation.
Research, monitor, and implement changes necessary to maintain compliance with state surplus lines laws, tax requirements, and filing obligations.
Ensure compliance with regulatory guidelines governing non-admitted insurance transactions, including upstream compliance requirements for wholesalers and agents.
Support the administration of new, renewed, and terminated licenses, including maintenance of licensee state accounts and regulatory portals.
Assist with broader insurance compliance initiatives, including monitoring, auditing, investigating, and updating operational procedures throughout the policy lifecycle.
Review state regulatory bulletins and coordinate updates to internal filing systems, underwriting platforms, and communications distributed to licensees and stakeholders.
Respond to surplus lines compliance inquiries through shared compliance inboxes and internal communication channels.
Provide guidance and insight to leadership regarding surplus lines requirements, operational impacts, and regulatory changes.
Complete required zero-business filings for applicable licensees and jurisdictions.
Maintain and update compliance reference materials, including state tax rates, filing requirements, and regulatory guidance used by operations, underwriting, accounting, and actuarial teams.
Update internal systems and databases with surplus lines tax filing statuses and transaction details.
Communicate surplus lines tax payment amounts and related reporting information to Accounting to support accurate financial recording and reconciliation.
Assist with auditing accounts payable processes to ensure timely remittance of collected taxes and fees.
Provide support and guidance on ad hoc surplus lines compliance questions from business units across the organization.
Participate in special projects and perform additional duties as assigned.