Compliance Manager

Note: All candidates must be able to work as a W2 employee for any employer in the US. (The role is not eligible for those requiring sponsorships now or potentially in the future.)

Title: Compliance Senior Manager

Industry: Wholesale Insurance Brokerage

Type of role: Direct hire (No Corp. to Corps, Candidates must be able to work for any employer in the US as a W2 employee.)

Location: Charlotte, NC, Dallas, Tx, Chicago Illinois or Birmingham, Alabama

Compensation: $120K – 150K base salary Bonus

Summary of Position:

The Compliance Sr. Manager serves as a trusted compliance partner to business units, helping design, implement, and sustain effective compliance programs, processes, and controls that support adherence to applicable laws, regulations, and internal policies. This role is ideal for an experienced lead professional who brings strong compliance expertise, sound judgment, and the ability to guide complex initiatives across technical areas. Working closely with business and functional leaders, the Compliance Consultant identifies and assesses regulatory risk, recommends practical solutions, and helps drive consistent execution of compliance requirements. The role offers the opportunity to influence business practices, strengthen a culture of integrity and accountability, and lead projects or workstreams that enhance the overall compliance environment.

KEY RESPONSIBILITIES

• Program Development & Oversight
• Design, implement, and maintain comprehensive compliance programs aligned with applicable laws, regulations, and our clients’ operational standards.
• Establish and strengthen internal controls that foster a strong compliance environment across business units and support consistent execution of compliance requirements.

Risk Management

• Proactively identify, assess, and help mitigate compliance risks across assigned business areas.
• Conduct periodic risk assessments to identify gaps, emerging issues, and potential exposures, and support action planning to address them.

Advisory & Collaboration

• Serve as a compliance advisor to designated our clients’ business unit(s), providing subject matter expertise and guidance on regulatory and policy-related matters.
• Collaborate with leadership and key stakeholders to resolve issues, recommend practical solutions, guide implementation of necessary changes, and lead or support compliance-related projects across technical areas.

Required Qualifications:

• Bachelor's degree or an equivalent combination of education and work experience
• A minimum of 6-10 years of insurance industry experience, including compliance and/or risk management experience, with demonstrated success leading projects, workstreams, or technical areas and providing guidance to business partners or team members.
• Broad-based knowledge and experience applying insurance laws and regulations, designing and supporting compliance programs and processes, managing regulatory matters, and advising on effective controls and remediation.
• Excellent communication, collaboration, and interpersonal skills, with the ability to influence stakeholders across functions and levels.
• Ethical judgement and integrity
• Attention to detail, accuracy, and the ability to manage multiple tasks and deadlines
• Strategic thinking, sound problem-solving skills, and the ability to manage competing priorities while leading initiatives to completion.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products