VP, U.S. Compliance

Job Summary

The Vice President, U.S. Compliance is responsible for building, overseeing, and continuously enhancing the Company’s enterprise compliance program for the U.S.-based businesses. Reporting to the Company’s Chief Compliance Officer, this leader ensures that operations and activities across the U.S. organization adhere to all applicable laws, regulations, and internal policies. In coordination with other members of the Global Compliance function, the VP proactively identifies compliance risks, monitors regulatory developments, and implements prevention and mitigation strategies to protect the organization from regulatory exposure, legal violations, and reputational harm.

This role leads compliance initiatives at a U.S. level, partners with internal departments, coordinates with local line of business compliance officers, and ensures that stakeholders—from senior leadership to employees—are informed, trained, and aligned with the Company’s compliance program and requirements.

Responsibilities

Policy Development, Implementation & Training

• Help lead the development, drafting, and maintenance of the Company’s suite of Policies & Procedures, with a primary focus on Legal & Compliance policies.

• Collaborate to help support the creation and maintenance of HR, IT, and other corporate function policies.

• Ensure policies, standards and procedures (governance documents) are implemented effectively across departments and business lines.

• Partner with Learning & Development to design and deliver role-based training on legal and compliance topics and company policies for employees and managers.

• Assist in building and operationalizing a scalable enterprise compliance framework.

Regulatory Monitoring

• Stay current on applicable state and federal laws, rules, and regulatory interpretations impacting the Company’s operations.

• Proactively identify regulatory changes and ensure policies, controls, and business practices are updated accordingly.

Risk Assessment

• Partner with Enterprise Risk Management (ERM) to evaluate compliance risks across business operations.

• Assess the likelihood, impact, and potential exposure associated with non-compliance.

• Support risk mitigation planning, prioritization, and cross-functional alignment.

Monitoring, Assessments & Testing

• Monitor business practices and employee adherence to Company governance documents, legal requirements, and regulatory obligations.

• Conduct periodic compliance reviews, testing, and assessments to identify potential vulnerabilities or areas requiring remediation.

• Document findings and partner with business leaders to implement corrective actions.

Regulatory Agency Collaboration

• Serve as a key point of contact for regulatory bodies overseeing the Company’s operations.

• Lead and coordinate responses to regulatory inquiries, audits, and examinations.

• Ensure the Company maintains transparent, cooperative, and professional regulatory relationships.

Internal Reporting & Data Insights

• Prepare regular and ad hoc compliance reports for internal stakeholders, including senior leadership and the Board (or a Committee), as necessary.

• Collect, analyze, and synthesize compliance-related data into actionable insights.

• Develop dashboards and real-time reporting mechanisms to promote transparency and program awareness.

Internal Collaboration

• Partner with Legal, ERM, HR, Internal Audit, Finance, IT, and other departments to maintain alignment on compliance initiatives.

• Facilitate regular cross-functional meetings to discuss compliance issues, share regulatory updates, and coordinate efforts.

• Travel as needed for internal meetings, regulatory interactions, and cross-functional collaboration.

Requirements

• Regulatory Knowledge: Deep understanding of laws and regulations affecting insurance and financial services sectors, including: 

• • State and federal P&C insurance requirements

• • Employee benefit laws

• • Licensing, sales practices, compensation requirements, and consumer protections

• • Cybersecurity and IT regulatory requirements

• • Title insurance and mortgage-related regulations

• Compliance Expertise: Strong knowledge of compliance best practices, internal control frameworks, and risk management principles.

• Analytical Skills: Ability to review data, identify trends, detect anomalies, and diagnose potential compliance risks.

• Influence & Collaboration: Aligns diverse stakeholders to decisions and timelines. Collaborates cross-functionally.

• Communication & Clarity: Ability to clearly and effectively explain compliance expectations to leaders, brokers, and staff. Strong executive presence and professional writing capability. 

• Legal & Regulatory Acumen: Ability to interpret complex regulations and apply them to operational contexts. Foundational understanding of legal principles relevant to compliance.

Education and Experience

• 15+ years of progressive compliance experience, ideally with leadership responsibilities.

• Bachelor’s degree in finance, law, business administration, or related field; Juris Doctor (JD) preferred. 

• Demonstrated expertise in insurance brokerage, insurance company operations, or financial institution regulatory standards. 

• Significant experience in compliance and risk management roles within highly regulated industries.

#LI-hybrid

Pay Details:

Candidates should be comfortable with an on-site presence to support collaboration, team leadership, and cross-functional partnership.

Employee Benefits

We also offer our employees a comprehensive suite of benefits and perks, including:

• Physical Wellness: Comprehensive medical insurance, dental insurance, and vision insurance; life and disability insurance; fertility benefits; wellness resources; and paid sick time.

• Mental Wellness: Generous paid time off and holidays; Employee Assistance Program (EAP); and a complimentary Calm app subscription.

• Financial Wellness: Immediate vesting in a 401(k) plan; Health Savings Account (HSA) and Flexible Spending Account (FSA) options; commuter benefits; and employee discount programs.

• Family Care: Paid maternity leave and paid paternity leave (including for adoptive parents); legal plan options; and pet insurance coverage.

• … and so much more!

This list is not exhaustive of all available benefits. Eligibility and waiting periods may apply to certain offerings. Benefits may vary based on subsidiary entity and geographic location.