Why Jencap? We are one of the largest wholesale insurance intermediaries in the United States with expertise in wholesale brokerage, binding authority, and program management. The common thread woven throughout our success story is our collaborative and driven team of people. Our teams are empowered and work together to find solutions. We have a passion culture – with teamwork, collaboration and a focus on growing individuals and giving them the tools & development opportunities to have a successful career.
** Please Note ** Jencap is not accepting Agency/Search Firm submittals for this role**
The Compliance Manager is responsible for developing, implementing, and maintaining compliance programs that support the organization's wholesale brokerage operations, with a specific emphasis on Excess & Surplus (E&S) lines business. This role serves as the subject matter expert on insurance regulatory requirements, licensing, surplus lines regulations, market conduct standards, and operational compliance processes.
The Compliance Manager partners closely with brokerage leadership, producers, carrier partners, underwriting teams, licensing, accounting, and operations to ensure adherence to state insurance regulations, company policies, and industry best practices. This position plays a critical role in mitigating regulatory risk while supporting business growth across multiple jurisdictions.
The Compliance Manager will ideally be based in our Atlanta, GA office and work a hybrid schedule. The role may also be based in Phoenix, AZ; Red Bank, NJ; Buffalo, NY; or Worcester, MA and work a hybrid schedule .
Key Responsibilities
Regulatory Compliance & Governance
Monitor and interpret state insurance regulations affecting wholesale brokerage and E&S business operations.
Ensure compliance with surplus lines laws, filing requirements, tax regulations, diligent search requirements, and state-specific placement rules.
Develop, maintain, and update corporate compliance policies, procedures, and controls.
Provide regulatory guidance to producers, brokers, underwriters, and operational staff.
Serve as the primary point of contact for regulatory inquiries, audits, examinations, and market conduct reviews.
Licensing & Producer Compliance
Oversee agency, broker, and producer licensing activities across all operating jurisdictions.
Monitor license renewals, appointments, continuing education requirements, and regulatory registrations.
Ensure compliance with producer onboarding and termination processes.
Partner with HR and leadership to maintain regulatory compliance related to employee licensing requirements.
E&S and Wholesale Brokerage Compliance
Maintain expertise in E&S placement requirements and surplus lines regulations nationwide.
Monitor adherence to diligent search documentation requirements and surplus lines disclosures.
Review operational processes to ensure compliance with broker authority, binding authority agreements, and carrier requirements.
Risk Management & Auditing
Conduct periodic compliance reviews and internal audits.
Identify compliance gaps and implement corrective action plans.
Track regulatory developments and provide risk assessments to senior leadership.
Develop compliance monitoring metrics and reporting dashboards.
Maintain documentation supporting regulatory requirements and audit readiness.
Training & Education
Develop and deliver compliance training programs for brokers, producers, and operational teams.
Communicate regulatory changes and emerging compliance risks throughout the organization.
Promote a culture of compliance, ethics, and accountability.
Cross-Functional Collaboration
Partner with legal, operations, finance, underwriting, and carrier relations teams on compliance initiatives.
Assist with due diligence related to new markets, products, carriers, and strategic initiatives.
Participate in system implementations and process improvement efforts to strengthen compliance controls.
Requirements…