General Counsel and CCO

This positon will act as the company’s General Counsel and Chief Compliance Officer. The company is creating this new role as it expands its operations to new territories and broadens its contractual relationships with third parties. The successful candidate will be responsible for reviewing and assuring proper execution of all aspects of regulatory and compliance reporting and filing as required by federal, state and local laws and insurance regulations. They will provide advice and guidance to company and review compliance reporting to ensure compliance with laws and regulations. They will handle duties customary to the role of General Counsel including review of contracts with third parties, and other duties, as assigned.

Job Requirements:

· Manage filing process of rates, rules and forms, including preparing documents, filing memorandum in accordance with state specific requirements, and provide timely responses to state objection based on independent review and collaboration with cross functional team.

· Oversee needs for extensions, re-submissions, withdrawals with close attention to deadlines and restrictions.

· Manage consultants and vendors who execute filings on the company’s behalf.

Provide direction and support to the business units throughout the development and preparation of the filing materials to determine the overall filing strategy or work along with outside vendor on filing process but oversee and direct strategy and drive initiative.

Review and analyze state insurance department statutes, regulations, bulletins to determine impact and ensure adherence to filing and regulatory requirements.

· Responsible for the coordination and completion of all government, regulatory, and compliance documents for all business units in organization.

· Evaluate and provide reasonable assurance that risk management, control and governance system are functioning accordingly to guideline and will enable the organization’s objectives and goals to be met.

· Identify internal control deficiencies and provide recommendations for improving the organization’s operations in terms of both efficient and effective performance.

· Create audit plans across all units, both operational and financial

Monitor Rating Service Organizations and State Bureau Circulars and Bulletins for associated business impacts and notify appropriate business units for further analysis.

Coordinate with outside Counsel in obtaining legal opinions on business practices and internal procedural related inquiries

· Draft corporate compliance policies and processes

· Draft and review contracts

· Work with Human Resources regarding employee relations concerns

Qualifications:

· BS/BA Degree required, JD required. 5+ years in State Filings/Compliance role preferred.

Broad knowledge and experience in P&C Insurance

Strong understanding of state filings compliance regulations

Works well independently and with others

Experience with New Jersey, New York and Pennsylvania a plus.