Manager, Compliance

This opportunity is for a managerial position on our Product Compliance team. This position reports into the Legal/Regulatory department and principally supports AmTrust’s property & casualty products written by its retail and program business units. The core lines of business are Businessowners, Commercial Auto, Commercial Property, and General Liability, all of which are ISO based.

The successful candidate will be expected to maintain a solid understanding of AmTrust’s mission, vision, and values and will steadfastly uphold the standards of the AmTrust organization.

Responsibilities:
1. Preparation and submission of SERFF filings that support product enhancement and expansion initiatives developed by AmTrust’s product and actuarial teams for all 51 jurisdictions, including hands-on responsibility for directly overseeing a line of business and self-filing in SERFF.
2. Manages a small (2-3 member) team of compliance professionals for high performance, determined by meeting agreed-upon deadlines, demonstrated high quality work product, and maintaining staff engagement with AmTrust’s goals and mission.
3. Manages multiple insurance product filing initiatives. Keeping in touch with product leaders for changes in scope, changes in priority, and providing timely status.
4. Monitors the activities of the Insurance Services Office (ISO) for one or more lines of business for 51 jurisdictions. Documents and advises product management of relevant changes that affect AmTrust products.
5. Interfaces with internal stakeholders (e.g., product development, actuarial, IT) and state regulators to resolve objections to proposed insurance products and broadly ensures compliance with state regulations concerning line of business.
6. Maintains historical records supporting all admitted product creations, revisions, and amendments implemented on our P&C carriers, including documentation necessary to demonstrate our companies’ compliance to state examiners.
7. Works with I/T on product implementation and system programming, when/if Compliance guidance is required; provides guidance to Operations, when/if needed, on certain insurance practices.
8. Keeps current with market trends pertaining to the line(s) supported.
9. Communicates to business clients and Product Compliance team members changes to relevant state statutes.
10. Performs other functionally related duties as assigned.

Assistant General Counsel, Head of Group Compliance

We are looking for an Assistant General Counsel, Head of Group Compliance to oversee the Group Compliance Function, and to pro-actively support executive management’s commitment to both legal and regulatory compliance and promotion of a strong culture of compliance across the company. This person will be responsible for corporate compliance such as AML, OFAC, Cybersecurity, and Privacy, as well as insurance regulatory compliance. They will also manage the Regulatory and Compliance and Regulatory Reporting teams within the General Counsel department while providing advice and counsel on a wide range of corporate and insurance regulatory compliance matters for the Group’s regulated insurance entities. This position is in our New York city office.

Major Actions and Support Actions:

Lead the Argo Group Compliance Program, overseeing all compliance function activities for the organization including development and implementation of policies and procedures, training, and monitoring activities. Analyze performance to identify any needs for corrective action. Work closely with Risk and Audit to advance compliance initiatives.

Draft the annual Argo U.S. Compliance Plan and monitor actual performance against the plan on an ongoing basis. Report Compliance activities and developments to senior management and the Board of Directors.

Manage the Regulatory and Compliance and Regulatory Reporting teams, providing support and feedback to team members in their handling of matters such as licensing, surplus lines, commercial deregulation, regulatory data reporting and data calls. Serve as a mentor and strong manager for direct reports.

Provide legal and regulatory advice to Underwriting, Finance, Operations, and Claims colleagues on regulatory and compliance matters.

Keep well informed of changes to statutes, regulations, governmental interpretations, industry trends, and lessons learned within the organization. Analyze, interpret, and determine the resultant impact on Argo Group and advise the appropriate personnel accordingly.

Work with the Sr. Regulatory Counsel and other members of the Legal and Compliance team on matters involving Federal, State, and regulatory authorities or other relevant parties in issues of compliance, including queries, market conduct exams, and investigations.

Develop and implement processes for managing information, such as consumer complaints, a whistle-blowing system, and other mechanisms.

Investigate and respond to potential violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures.

Monitor and have oversight of the Argo Group licensing framework, ensuring that Argo’s operations have in place the necessary licenses on an ongoing basis.

Work with Human Resources to execute and maintain the compliance training program for Argo Group

Perform other duties as assigned.

Annual Salary: New York City Pay Range: $180,500—$250,000 USD

Regulatory Compliance Analyst

The Regulatory Compliance Analyst provides counsel, direction, and support to the regulatory compliance team by providing timely and accurate advice on insurance laws and regulations in all jurisdictions where Argo Group operates.

How You Will Make an Impact:

Stay apprised of changes to insurance regulatory laws and other requirements, and communicate such changes to the Compliance Manager and appropriate personnel across Argo Group, along with recommended strategies for compliance, as well as prioritization of such strategies, as appropriate.

Collaborate with the Compliance Manager on the coordination and response to regulatory reports required by state or federal jurisdictions.

Research and respond to inquiries on certain insurance regulatory topics from different functional areas across the organization.

Provide support and assistance in facilitating responses to Consumer Complaints.

Assist the Compliance Manager in screening and clearing OFAC hits and responding to inquiries regarding sanctions compliance.

Respond to inquiries concerning records retention requirements based on the Company’s retention schedule.

Interact professionally and courteously in all communications with regulators in the normal course of business, and determine which interactions or issues require escalation to the Compliance Manager.

Use independent judgment and discretion to carry out responsibilities, including identifying risks, recommended solutions, and strategies, as well as determining when to escalate issues or concerns.

Other duties as assigned.

Annual Salary: New York City Pay Range: $89,800—$105,800 USD

Regulatory Compliance Specialist II

Purpose
The Regulatory Compliance Specialist II will assist in monitoring all property/casualty insurance legislation and regulations impacting AAIS products and operations. You will be integral in drafting and updating insurance policy language across multiple lines of business and assist in maintaining awareness of current events and topics at the state level. You will assist the legal team with establishing and maintaining communications with state regulatory officials to discuss AAIS initiatives. You will join the Government Affairs, Legal, & Compliance Team (GLC) and report to one of AAIS’ Assistant Counsel attorneys.

Job Responsibilities

• Draft, review, and analyze insurance policy language in base policies, endorsements, and other materials for both commercial and personal lines of business.
• Develop suggested revisions to AAIS forms impacted by legislative and regulatory changes to assist AAIS staff in its in response to such changes.
• Monitor, interpret, and track pending legislation, utilizing compliance tools such as LexisNexis State Net, that may impact AAIS products, under attorney guidance.
• Review and provide analysis of state insurance department bulletins and circulars, trade bulletins, and other related material to determine applicability.
• Assist in the development of compliance documentation and reference materials.
• Communicate appropriate compliance-related information internally and externally and assist/coordinate on making sure compliance questions are addressed.
• Engage in regulatory research relating to compliance issues presented.
• Assist in the coordination and development of compliance filings, including review of loss cost, manual revisions, and filing materials for comprehensive compliance changes to AAIS products.
• Assist in the coordination of activities such as conferences, NAIC/DOI meetings, webinars and publication articles/speaking opportunities to further GLC initiatives.
• Demonstrate flexibility and collaboration when assisting the GLC team with various projects.
• Perform other duties as needed to further AAIS initiatives.

Senior Compliance Analyst

We are seeking a detail-oriented Senior Compliance Analyst to join our Legal & Compliance team. In this role, you will be responsible for submitting property & casualty, including accident & health, product filings and various other compliance activities.

Job Duties

• Research, prepare and submit product filings through SERFF and other systems
• Track and report on status of filings across states and jurisdictions
• Coordinate responses to regulatory objections and inquiries
• Communicate directly with regulators
• Ensure compliance with all rate and form filing requirements
• Communicate with underwriters, drafting counsel and actuaries on filing strategy and status updates
• Conduct competitive research and review ISO forms and circulars
• Maintain organized records and documentation of all filings
• Assist with other compliance projects and tasks as needed

Qualifications

• 4+ years relevant experience in insurance compliance
• Bachelor’s Degree preferred
• Proficiency with Microsoft Office Suite and familiarity with ISOnet and SERFF
• Excellent written and verbal communication skills
• Strong attention to detail and organizational abilities
• Ability to manage multiple projects and deadlines simultaneously
• Knowledge of SERFF filing and state approval processes
• Experience with policy forms and insurance regulations
• Proactive approach with ability to work independently
• Team player with strong collaborative spirit

Annual Salary: $70,000 – $100,000 per year

State Filings and Implementation Specialist

Argo Group is a leader in specialty insurance with a vibrant culture built on respect, equality, wellness and opportunity. We’re an innovative organization that’s small enough to be agile and big enough to make a difference in our industry.

Our flexible workplace is continuously evolving to ensure all employees feel:

Comfortable bringing their whole selves to work.
Confident that they will be treated respectfully.
Recognized for their performance and provided with equal opportunities to succeed.
At Argo, skill meets opportunity. If you’re wired to raise your hand and ask, “Where can I help?”, you’ll thrive with us.

This is a hybrid (remote/on-site) working arrangement with travel into/work from the San Antonio, Chicago or NYC Office locations required.

DUTIES AND RESPONSIBILITIES:

File with state insurance regulators the forms, rates and rules developed by Product Development Analysts and others utilizing the SERFF software application.
Work with actuarial staff and business units to develop filing support.
Develop filing strategies to further the most efficient admitted project implementation.
Assist the Product Implementation Manager in maintaining the product implementation system tracker.
Help maintain PAPER database integrity (Carrier/States/Effective Dates for Active and Inactivate forms and manuals).
Assist in maintaining and updating proprietary forms lists.
Coordinate activities around ISO, AAIS or NCCI rate/rule/form adoption, and direct information to coordinators in support of vendor Rate/Quote/Bind/Issue systems.
Maintain databases and spreadsheets containing information regarding forms, rates, and rules as historic records.
Maintain filing status sheets/reports.
Assist with product-related projects as assigned by the AVP or SVP.
QUALIFICATIONS

Bachelor’s degree or equivalent in related experience.
1 -3 years’ experience in the insurance industry (admitted markets), regulatory compliance, operations, and/or legal field.
Demonstrated ability to work with and organize large amounts of data.
Demonstrated ability to work with detailed information accurately.
Strong communication skills and ability to build relationships with internal customers and State Departments of Insurance.
High degree of computer/database literacy. Strong knowledge of MS Office products. Ability to quickly learn to use new computer software
Knowledge of SERFF and familiarity with state filing requirements (preferred).
Ability to multi-task, along with strong organizational skills.
Ability to manage, prioritize, and effectively meet deadlines.
Sound judgment and problem-resolution skills.
Excellent written language/composition/grammar skills.
High degree of computer/database literacy. Strong knowledge of MS Office products. Ability to quickly learn to use new computer software.
PLEASE NOTE: At this time, Argo Group will not sponsor an applicant for employment authorization for this position.

If you have a disability under the Americans with Disabilities Act or a similar law and you wish to discuss potential accommodations related to applying for employment at Argo Group, please contact our Benefits Department at 210-321-8400.

To all recruitment agencies: Unless you have been requested to work on this position, or other positions with Argo Group, please do not forward any resumes to Argo Group employees. Argo Group is not responsible for any fees related to unsolicited resumes.

Argo Group International Holdings, Ltd. (NYSE: ARGO) is a global multiline underwriter of specialty insurance and reinsurance products in the property and casualty market. We help power the businesses that drive the world economy, offering a comprehensive line of high-quality products and services designed to meet the unique coverage and claims-handling needs of our clients. We foster an inclusive culture that embraces diversity and design thinking, relies on innovation and agility, promotes collaborative service delivery, offers frequent, integrated communication and values authentic recognition of excellence. View our 2022 Environmental, Social & Governance Report to learn more about Argo.   

We are an Equal Opportunity Employer. We do not discriminate on the basis of age, ancestry, color, gender, gender expression, gender identity, genetic information, marital status, national origin or citizenship (including language use restrictions), denial of family and medical care leave, disability (mental and physical) , including HIV and AIDS, medical condition (including cancer and genetic characteristics), race, religious creed (including religious dress and grooming practices), sex (including pregnancy, child birth, breastfeeding, and medical conditions related to pregnancy, child birth or breastfeeding), sexual orientation, military or veteran status, or other status protected by laws or regulations in the locations where we operate. We do not tolerate discrimination or harassment based on any of these characteristics.

The collection of your personal information is subject to our HR Privacy Notice

Our Benefits

Developing our employees professionally and personally strengthens our organization.
Argo Group offers an attractive Total Rewards package that includes:

A culture that recognizes performance and empowers employees to excel, offering competitive compensation and merit driven profit sharing.

Flexible workplace policies that support employee well-being include compressed hours, flex-time, job-sharing, remote work, sabbatical leave, holiday and summer hours.

Comprehensive health, wellness, and financial planning options that employees can tailor to meet their personal and family needs. In addition to traditional health and wellness plans, benefits include dental, disability, life insurance, medical, and vision insurance, matching 401(k) retirement savings, generous paid time off (21 days of PTO, 11 paid company holidays, 3 floating holidays and a paid voluntary day), paid caregiver and parental leave, paid bereavement, jury duty/court appearances, and military (up to 14 days) leave, employee assistance program (EAP), and an array of voluntary benefits.

Argo Academy, a digital and instructor-led platform that offers continuous learning and professional development – Training magazine lists Argo among the Training “Top 125” Companies. Argo encourages career mobility and continuing education to pursue and maintain professional and industry designations, in addition to traditional university and higher education programs.

An inclusive culture that develops and sponsors diverse teams, encourages cross-functional engagement and collaboration, builds community through employee resource groups (ERGs), and provides an environment that welcomes ongoing dialogue, creative innovation, professional and personal development.

Active community outreach and volunteer programs in addition to matching charitable gifts by 100%.

A generous Employee Referral program that results in approximately 25% of all new hires annually.

Sr. Compliance Analyst

We are seeking a detail-oriented Senior Compliance Analyst to join our Legal & Compliance team. In this role, you will be responsible for submitting property & casualty, including accident & health, product filings and various other compliance activities.

Job Duties

• Research, prepare and submit product filings through SERFF and other systems
• Track and report on status of filings across states and jurisdictions
• Coordinate responses to regulatory objections and inquiries
• Communicate directly with regulators
• Ensure compliance with all rate and form filing requirements
• Communicate with underwriters, drafting counsel and actuaries on filing strategy and status updates
• Conduct competitive research and review ISO forms and circulars
• Maintain organized records and documentation of all filings
• Assist with other compliance projects and tasks as needed

Qualifications

• 4+ years relevant experience in insurance compliance
• Bachelor’s Degree preferred
• Proficiency with Microsoft Office Suite and familiarity with ISOnet and SERFF
• Excellent written and verbal communication skills
• Strong attention to detail and organizational abilities
• Ability to manage multiple projects and deadlines simultaneously
• Knowledge of SERFF filing and state approval processes
• Experience with policy forms and insurance regulations
• Proactive approach with ability to work independently
• Team player with strong collaborative spirit

Annual Salary: $70,000 – $100,000

Team Leader – Property and Casualty Insurance State Filing Specialist

The position is responsible for managing all aspects of property and casualty rate, rule and form filings. This includes but is not limited to preparing and submitting filings, tracking team member’s filing activity, prioritization of team workflow and negotiating approvals with state insurance departments. The position will review state objections with team members, underwriting and actuarial to propose responses to state objections where appropriate. This will entail reviewing state regulations and updating endorsements to comply with state variations. This position will also be a company resource to answer questions regarding new filings, the status of pending or approved filings. Other responsibilities include creation and maintenance of the State Filing Department’s procedure manual, state filing informational spreadsheet, common insurance department objections and how handled, job descriptions and other related materials of an administrative nature. Lead a team of filing professionals employed by the company to assist in the statutory filing process.

At USLI, our goal is to strengthen our community and culture by representing all races, genders, religions and sexual orientations. We continue to move conversations about diversity, equity and inclusion forward to ensure every community member has a sense of belonging, a voice and a seat at the table.

USLI provides full-time community members with a comprehensive benefits package, access to wellness programs, continuing education resources, and multiple opportunities to get involved with charitable organizations.
All positions are required to work on-site 75% of the time unless indicated otherwise in the job description. Candidates can discuss additional details with the hiring leader.

Senior Regulatory Compliance Specialist

Litigation Support-Act as contact with both internal and outside counsel to summarize information and gather production/interrogatory responses

Complaints & Regulatory Inquiries – Respond to and assist the Compliance Director with the review/approval of others responses to complaints and regulatory inquiries for accuracy, regulatory and litigation risk and escalate as appropriate.

Act as Compliance Lead for Major Fraud Issues – Direct the fraud investigation process, monitor/communicate concerns, make appropriate recommendations and notify regulatory entities as appropriate.

Market Conduct Exams – Oversee all aspects of market conduct exams including assignments, review, summarization, communication and any associated follow-up communications and remediations.

Compliance Resource for Operational Areas-respond to questions and issues of a compliance nature from the operational areas and escalate to Compliance Director when warranted

Healthcare Compliance Analyst

Healthcare Compliance Analyst

Job Summary: Reporting to, the Head of Corporate Compliance, the Healthcare Compliance Analyst is responsible for the building, implementation, and execution (by business segment) of Wellfleet’s Corporate Compliance program and all compliance activities. They will review and evaluate compliance issues/concerns within the assigned business segment as well as assessing compliance risks and controls, which includes issue escalation. In addition, the incumbent will communicate and promote compliance and adherence to the standards of conduct, laws, regulations and applicable policies and procedures. They will provide compliance related guidance to business segments assigned and facilitate communication on compliance related matters.
Minimum Qualifications:
• Minimum of 4+ years health care regulatory compliance related experience preferred
• Bachelor’s degree in related field preferred or 6+ years of relevant work experience or equivalent combination of education and experience
• Strong understanding of healthcare laws and regulations. Ability to interpret healthcare laws and regulations
• Solid risk assessment capabilities.
• Strong organizational skills and attention to detail.
• Excellent written and verbal communication skills.
• Excellent presentation and interpersonal skills.
• Ability to work in a fast-paced environment, think quickly, meet deadlines and adapt to various situations.
• Ability to understand complex problems, identify root causes, and remain goal-oriented within a dynamic environment.
• Ability to prioritize multiple work assignments simultaneously.
• Exhibits strong work ethic.
• Excellent analytical skills, with the ability to effectively identify, communicate, and address potential issues.
• Ability to work independently and as a team player.
• Ability to work effectively with peers, as well as business areas at all levels of the organization.
• Strong commitment to compliance & ethics.
Essential Job Duties and Responsibilities:
• Assist Legal and Business Areas with implementing new and/or existing regulations utilizing regulatory system
• Assist with the development and execution of Corporate Compliance Program (e.g., risk assessment, internal customer satisfaction survey, testing & monitoring of key regulations, internal complaints, policies & procedures, exam oversight, vendor oversight, compliance reporting (internal/external), issue reporting and escalation, training program, corrective action plans)
• Implementation and monitoring of business area compliance self-assessments
• Assist with testing & monitoring of key regulations, issues reporting and escalation, and corrective actions
• Research different laws, rules, and regulations by reviewing regulatory bulletins, federal updates, news briefs, and other sources of information
• Build/Maintain database of key fed/state regulations (e.g., Accident & Health, Voluntary Benefits)
• Assistance/coordination of market conduct exams
• Assist with the documentation of compliance guidelines and key compliance controls
• Assist with the automation of key compliance testing/monitoring/risk assessment.
• Development of Corporate Compliance job aids
• Participate in recurring compliance meetings with business areas
• Assists with reported complaints as necessary
• Assists privacy officer as needed in Investigating reported privacy concerns
• Assist with peer review of regulatory filings as needed
• Coordinates with Delegation Oversight Committee for oversight and reporting requirements of vendors, as needed
• Coordinates with License & Appointment Team, as needed
• Ability to travel up to 10%
This job description in no way states or implies that these are the only duties to be performed by the employee(s) incumbent in this position. Employee(s) will be required to follow any other job-related instructions and to perform any other job-related duties requested by any person authorized to give instructions or assignments.
Creating and maintaining a work environment that promotes respect, dignity and diversity is important to us. Our mission is more than a piece of paper, it is a way of doing business. “We deliver customer centric insurance solutions with quality service and uncompromising ethics.” We have six pillars that we deliver through, all of which promotes positive employee practices.
Candidates requiring accommodation during any stage of our selection process should advise us of this; we will strive to work with individuals to find a suitable means to meet their needs.
Reporting to: Head of Corporate Compliance

Annual Salary: $70,000-90,000