Corporate Secretary/Assistant Vice President, Compliance
Position Title: Corporate Secretary/Assistant Vice President, Compliance
Reports to: VP Legal
The Corporate Secretary/AVP, Compliance serves as Secretary with all associated formalities. In addition, the role encompasses management of compliance initiatives, including development and implementation of all appropriate controls and processes required to comply with federal, state, and insurance regulations. This individual is expected to engage with business and executive management to ensure achievement of company goals and initiatives in compliance with applicable laws and regulations.
Core Duties and Responsibilities:
- Organize and serve as Secretary for Board and Shareholder meetings.
- Maintain shareholder records, shareholder relations.
- Maintain and update corporate and company records: licenses, certificates of authority, trademarks and copyrights, domain names, permits, leases, vendor service agreements, reinsurance agreements, MGA licenses and agreements. Ensure the existence, within the Legal Department and the Company, of policies, procedures, and processes for effective compliance with applicable insurance regulations and applicable laws.
- Corporate Governance – Familiarity with Forms B, C, F and ability to complete yearly filings.
- Develop, manage, and maintain a system for identifying new statutory and regulatory requirements, and for the interpretation, dissemination, and implementation of same.
- Facilitate communications on behalf of the Company regarding inquiries, examinations, and other similar requests form regulatory bodies.
- Maintain Complaint Log.
- Manage internal compliance audits (including, but not limited to market conduct surveys/exams, data call requests), ensure timely submission of findings, and identify corrective action to be taken (if any).
- Research and respond to regulatory questions from operational departments as requested. Research applicable laws and regulations.
- Prepare weekly/monthly reports of activity.
- Work on special projects as assigned.
- Collaborate with other Company departments on compliance-related matters and other projects.
- Significant corporate/regulatory background/experience, particularly in insurance context (attorney preferred, but not essential).
- Specific and detailed knowledge of P&C insurance industry and practices relative to regulatory insurance compliance.
- Solid analytical skills and ability to communicate with different audiences, including executive management.
- Research skills required with working knowledge of Lexis.
- Proficiency with regulatory platforms, MS Word, Windows, Excel, Outlook, PowerPoint.
- Strong verbal and written communication skills and attention to detail.
- Solid organizational skills with ability to think and work independently. Position operates with a high level of independence. The individual performing this role should be confident in his/her decision-making abilities and understand when issues need to be escalated for discussion. Position also requires the ability to understand the sensitive nature of project and Departmental duties and the ability to maintain confidentiality of information as assigned.
- Ability to adapt to quickly changing priorities/deadlines.
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