About the role.

The Vice President, Compliance Operations is a senior leader within the Compliance Department responsible for overseeing critical operational compliance functions, including Surplus Lines tax and filing operations, Licensing, Financial Crimes (e.g., sanctions and related controls), and broader compliance advisory support to the business.

Reporting to the SVP, Chief Compliance Officer, this role ensures that high-risk, transaction-based compliance activities are executed with precision, consistency, and regulatory rigor. The VP, Compliance Operations will lead teams responsible for day-to-day regulatory adherence while strengthening internal controls, optimizing processes, and embedding a proactive, risk-based approach aligned with the Company’s Compliance Risk Framework and Enterprise Risk Management (ERM) program.

This role requires a strategic operator who can balance regulatory technical expertise with operational excellence, scalable process design, and strong cross-functional partnership.

What you'll do.

Lead the operational execution of key compliance programs, including:  Financial Crimes compliance (e.g., surplus Lines tax calculations, filings, and regulatory reporting; licensing, appointments, and related regulatory requirements; sanctions screening, escalation, and reporting); related regulatory filings and operational compliance obligations.

• Ensure programs are aligned with the Company’s Compliance Risk Framework and applicable federal and state regulatory requirements.
• Oversee development, documentation, and maintenance of policies, procedures, and controls governing operational compliance functions.
• Implement and enhance risk-based monitoring, quality assurance, and testing protocols.
• Establish and track KPIs and KRIs to measure operational effectiveness, accuracy, timeliness, and regulatory adherence.
• Strengthen governance over issue identification, escalation, root cause analysis, and remediation tracking.
• Provide advisory support to underwriting, distribution, finance, and other business partners on licensing, surplus lines, and financial crimes–related matters.
• Partner closely with Legal, ERM, Internal Audit, and business leadership to ensure consistent control design and regulatory alignment.
• Support regulatory examinations and inquiries related to licensing, surplus lines, financial crimes, and operational compliance matters.
• Build and develop high-performing teams, ensuring appropriate resourcing, expertise, and succession planning.
• Support special projects and additional responsibilities as assigned to meet evolving business and regulatory needs.

What You'll Need.   

• 10+ years of progressive experience in insurance compliance, surplus lines operations, licensing operations, or related risk functions within a Property & Casualty insurance organization.
• Deep expertise in one or more of the following areas, with working knowledge across all:  Surplus Lines tax and multi-state filing obligations; Producer licensing and regulatory appointment requirements; and/or Financial Crimes / sanctions compliance.
• Demonstrated experience managing operational compliance teams and high-volume regulatory processes.
• Strong understanding of state insurance regulations and regulatory filing requirements.
• Experience designing and enhancing internal controls, monitoring frameworks, and operational metrics.
• Proven ability to translate regulatory requirements into scalable, well-controlled business processes.
• Experience supporting regulatory examinations and responding to regulator inquiries.
• Strong leadership presence with the ability to influence and collaborate across business lines.
• Bachelor’s degree required; relevant certifications (e.g., CPCU, CCEP, AML certifications, or similar) are a plus.

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The base salary for this role can range from $170,000 to $200,000 based on a full-time work schedule. An individual’s ultimate compensation will vary depending on job-related skills and experience, geographic location, alignment with market data, and equity among other team members with comparable experience.

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