Compliance jobs in United States

Name: Danielle Alexander
Phone: 416-868-6711 103
Email: danielle@dgacareers.com

47

Manager, Licensing & Compliance (Job 9782)
Flexible, In-Office or Hybrid

Our client is a rapidly growing, forward-thinking brokerage that places a strong emphasis on integrity, collaboration and professional excellence. Dedicated to empowering consumers, they provide a digital platform that offers comprehensive comparisons on insurance, mortgage rates, credit cards and banking products backed by expert insights, educational content and financial tools.

With a mission to help Canadians make informed and confident financial decisions, this organization is building a culture where compliance plays a central role in supporting responsible growth and customer trust. If you’re a compliance-minded professional who wants to be part of an innovative and purpose-driven team and you bring experience as a Broker, this could be the opportunity you’ve been looking for.

Position Overview:

We are looking for aManager, Licensing & Compliancewho will play a critical role in ensuring that all licensing, compliance and regulatory requirements are met across all provinces where the brokerage operates. The Manager in this position will be responsible for overseeing the licensing and continuing education of all licensed employees, reviewing operational workflows for regulatory compliance and managing error and omission (E&O) reporting and resolutions.

Key Accountabilities:

• Manage licensing processes for all provinces in which the brokerage operates, including new applications, renewals and status changes.
• Monitor continuing education (CE) compliance for all licensed employees, ensuring timely completion and documentation of CE requirements.
• Review internal workflows and procedures regularly to ensure adherence to regulatory requirements and industry best practices.
• Act as the primary point of contact for E&O claims, submit initial notices to the insurance provider, coordinate documentation and manage communications until resolution.
• Liaise directly with insurance regulators regarding licensing, compliance audits, complaints and other regulatory matters.
• Maintain up-to-date records of licenses, CE credits, regulatory notices and internal compliance audits.
• Provide guidance and training to internal teams on compliance requirements, licensing standards and regulatory changes.
• Support the brokerage’s growth initiatives by ensuring smooth licensing processes for expanding into new provinces or territories.
• Adhere to privacy requirements and facilitate customer privacy inquiries.
• RIBO Form 1 oversight, supported by our Finance team.
• Collaborate with our internal Training & Development team.

Qualifications/Attributes:

• Minimum of 8 years’ experience working in an insurance brokerage environment.
• Strong knowledge of Canadian insurance licensing requirements, compliance standards, and regulatory processes.
• Experience working directly with provincial insurance regulators on licensing and complaints.
• Proficient in Broker Management Systems experience, in particular with Applied Epic.
• Familiar with broker comparative raters, particularly with Applied Rating Services.
• Exceptional organizational skills, attention to detail and ability to manage multiple priorities and deadlines.
• Strong interpersonal skills and excellent communication.
• Ability to build and maintain strong internal and external relationships with ease.
• High level of integrity, professionalism and discretion in handling confidential information.

Experienced candidates please forward your resume in confidence to Danielle

Name: Danielle Alexander
Phone: 416-868-6711 103
Email: danielle@dgacareers.com