Surplus Lines & Compliance Manager - Wholesale

Novatae Risk Group

About The Position

The Surplus Lines & Compliance Manager is responsible for the day-to-day execution and oversight of surplus lines compliance, agent appointments, and regulatory operational processes across Novatae’s wholesale divisions. This role is operational in nature and focused on ensuring accurate filings, and adherence to state-specific surplus lines requirements, and timely agency appointments. The position partners closely with brokerage, underwriting, accounting, licensing and external vendors to maintain compliance while supporting efficient business operations.

Requirements

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.

Nice To Haves

Prior experience managing vendors or external compliance partners preferred.
Industry certifications (CIC, CPCU, ARM) are a plus but not required.

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.