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Job Summary

Insurance is a highly regulated industry and a strong compliance team is crucial. Our successful and growing 4+ decades-old wholesale insurance broker is recruiting for a Compliance Specialist with expertise in surplus lines taxation, and insurance licensing. A successful hire will be an important member of our administrative team, responsible for keeping abreast of changing regulatory requirements and making sure that our organization fulfills obligations in all U.S. states. The Compliance Specialist is responsible for ensuring surplus lines taxes are filed in sync with state requirements by processing, handling, reporting, and requesting payment for transactions across the organization. Further, the team member will be responsible for monitoring and processing of the firm’s nationwide insurance licenses.


• Processing surplus lines transactions for production teams, based on state rules, within the deadlines set by state regulators; including affidavit processing, providing copies of policies to the state (if required), recording transactions in accounting systems, etc.;

• Complete and file accurate tax reports on a monthly, quarterly, semi-annual and annual basis meeting timeliness and payment requirements for each state;

• Run reports and verify data to ensure accuracy of information;

• Update databases as appropriate and keep appropriate documentation to support tax filings as well as tracking of the status of the tax filing on each transaction;

• Research, monitor, and implement changes required to ensure compliance with each state’s surplus lines requirements;

• Assist with the development and implementation of changes on surplus lines procedures for the business to ensure regulatory compliance;

• Assisting with surplus lines audits – verifying transactions, documents and filings;

• Maintain database of entity and individual insurance licenses;

• Process applications for new insurance licenses and bi-annual renewals, via the use of regulatory portals;

• Work closely with accounting, legal, and underwriting staff, as well as other business units as needed on surplus lines transaction processing and reporting to ensure data integrity and statutory regulatory compliance.

Qualifications and Competencies

• Associate degree in accounting, business, insurance, or related field

• Strong math skills and at least two years of tax filing experience

• Ability to meet strict deadlines

• Proven ability to work effectively in a team environment

• Strong verbal and written communication skills

• Solid computer skills and the ability to use existing and new technologies effectively and efficiently

• Demonstrate proficiency with Microsoft Office, with a particular comfort with Excel

If you are a self-motivated, results-oriented professional who thrives in a fast-paced environment, please send a cover letter and resume to our Human Resources department.

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