Primary Function:

The role of the Compliance Manager is to ensure that Upland Capital Group adheres to all legal standards, internal

policies and practices in compliance with all federal and state regulations, regulatory filings and reporting, and

coordinating with external and/or internal staff or legal counsel. This role is responsible for owning and facilitating

compliance processes, conducting periodic internal reviews and audits to ensure compliance with laws, rules, and

regulations. Maintaining a broad working knowledge and awareness of the Non-Admitted (Surplus) industry on

compliance monitoring and regulatory reporting.

Duties and Responsibilities:

• Establish, review, and maintain regulatory compliance documentation related to Compliance Guidelines,

Corporate Governance, Conflict of Interest, and Compliance Policy and Procedures

• Coordinate, create, and implement policies and procedures resulting from new laws and regulations in

collaboration with business owners to ensure products, systems, processes, and procedures are following all

regulatory requirements

• Establish guidelines and assist with the development and implementation of records retention policy and

disposal schedules in compliance with state and government authorities

• Monitor regulatory developments for new and changing rules, guidance, and regulatory standards, evaluate

possible impact, and facilitate development of appropriate response

• Assist or facilitate projects and analysis related to compliance with new state entry and/or existing states and

all federal statutory regulations requirements

• Maintain and complete regulatory annual state filing requirements and checklist related to license renewals,

state fees, data calls, surveys or state request and inquires

• Coordinate with data engineers and application system owners to facilitate automated accumulation of

necessary compliance and regulatory reporting data

• Monitor and identify regulatory, statutory and compliance related changes to determine how they will impact

the business areas and communicate action required to comply with such changes

• Design and coordinate the preparation and ongoing review of policies, procedures, training materials and

other communication tools to ensure departments meet compliance requirements

• Partner with affected business stakeholders in achieving the proper state of regulatory audit/exam readiness

• Manage and coordinate state regulatory audits, request and exams with regulators and internal business unit

coordinating the responses and documentation, responding directly with regulators, auditors, and examiners

• Review and monitor state bulletins and communicate with business unit to determine impact or changes

required

• Maintain and track document form changes for policy issuance, test and monitor implementation along with

communication with leadership and stakeholders of each business unit

• Ensuring policies are issued in a manner compliant with all federal and state regulations, state regulatory

filings and reporting

• Manage state specific agency license requirements and renewals

• Coordinate, maintain and follow-up with any company complaints to ensure they are investigated and

resolved

• Identify compliance and regulatory risk, establish risk controls, and facilitate risk assessments to identify any

deficiencies or weakness in process controls

• Report on compliance projects, improvements and dashboard reporting with metrics related to upcoming

filings due utilizing any state specific tools or software compliance systems and administration of such tools

• Partner and establish strong working relationships with members of the Executive and Senior Leadership

teams

• Advise Senior Management and key stakeholders on compliance with laws, regulations, and other relevant regulatory requirements

Experience, Educations, Special Skills Required:

• Bachelor’s degree in business or accounting plus 5-7 years of property & casualty insurance experience

• Solid background in statistical, analytical and organizational skills

• Possess the ability to collaborate and build partnerships with several business units in the company

• In-depth knowledge and applied skills in Compliance measures and requirements

• Proficient in MS office and experience with Verisk/IOSNet

• Exceptional written and verbal skills

• Extremely detail oriented and ability to work independently

• Self-starter with industry knowledge & a growth mindset

• Ability to work in a team environment with remote and in-office team members