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SVP of Insurance Compliance

SVP of Insurance Compliance job! Our Client is a highly rated and growing Texas based Life Insurance Company! Above all, our Client is a Dallas based provider of a wide range of life insurance, annuity, Medicare supplement, and supplemental health products used to build and preserve the financial security of their policyholders. Our Client manages $3+ billion in assets and has an A- (Excellent) rating by AM Best.

Ideal opportunity for an individual looking to grow their career with a growing company. Our Client's main needs in the SVP of Insurance Compliance job is that the candidate comprehensively oversees our Client's Compliance operations. The SVP of Insurance Compliance job salary is $160k to $200k DOE. This SVP of Insurance Compliance job requires working at the Dallas, TX headquarters. This is not a remote job. Apply now for this excellent SVP of Insurance Compliance job by following the instructions at the end of this Job description!

Job Summary

The SVP of Compliance leads our compliance team, which is responsible for a wide range of regulatory, legal, and corporate compliance functions within the life, health, and annuity market segments.

Primary Job Tasks and Responsibilities

Well-qualified candidates would exhibit substantial experience in these key areas within the individual life, health, and annuity markets:

  • Company and Policy Form Filing:
    • Ensure company filings and policy form filing submissions are completed in a timely fashion, complying with state insurance regulations. Knowledge of interstate compact regulations, the SERFF system, and UCAA systems is required.
  • Operations Audits:
    • Ensure company operations at our TPA's comply with state insurance regulations. Create, distribute, and file with Departments of Insurance (DOIs) where required.
  • Monitor Regulation Changes:
    • Monitor and implement any regulatory changes that may affect the company. Ensure affected operations areas comply with new requirements.
  • Review and Approve Advertising:
    • Ensure advertising meets state and federal guidelines. Communicate effectively with independent agents on required changes.
  • Respond to Complaints and Litigation:
    • Serve as the corporate contact for all matters related to complaints and litigation, including Department of Insurance complaints. Responsible for creating and overseeing the complaint log.
  • Regulatory Exam Coordinator:
    • Serve as a liaison between state insurance examiners and the company. Respond to all requests, and draft and finalize reports. Ensure any deficiencies in operations are corrected.
  • Corporate Records Maintenance:
    • Create, file, and ensure all required UCAA corporate filings related to normal insurance company operations are completed in a timely fashion.
  • Claims/Rescission Coordination:
    • Participate in reviewing life insurance contestable claims, carefully considering all relevant facts and providing expertise in determining material misrepresentation, fraud, intent to deceive, and causal connection requirements by state.


  • Juris Doctorate (JD) Degree
  • 10+ Years Legal and Regulatory Compliance Experience in the individual Life, Health, and Annuity market segments.
  • LOMA or Other Insurance Home Office Training Designations and/or NASD Designations. Including Series 6, 26, and 63, as well as Broker-Dealer experience.


  • Direct Experience with UCAA and SERFF Systems
  • Strong Analytical Ability
  • Detail Oriented
  • Effective Communication Skills: Ability to communicate effectively between multiple departments.
  • Collaborative Attitude
  • Staff Management Experience
  • Ability to Work Independently and Take Personal Initiative: With a strong desire to learn.
  • Demonstrated Track Record: Handling consumer complaints and communicating with state departments of insurance.

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