VP, Regulatory Compliance

Job Description

Job Description The Vice President, Regulatory Compliance is responsible for designing and executing legal and compliance strategies, frameworks, and guidance that support The Mutual Group’s business objectives. This critical leadership role ensures the organization delivers best-in-class legal and compliance support to current and future insurance company clients for busy and growing MGA. The Vice President establishes, enforces, and evaluates legally compliant operating and compliance policies, procedures, and best practices aligned with the insurance industry standards, while providing growth-oriented legal guidance to business leaders.

This role serves as a key champion for the organization’s commitment to the highest standards of regulatory compliance for internal and external stakeholders.

Department
Legal

Work Arrangement Employees who live within 30 miles of the TMG home office are expected to follow a hybrid or in-office schedule. The initial training period may require additional in‑office days.

• Collaborates with TMG leadership to develop and execute regulatory compliance strategies aligned with the organization’s short and long-term objectives, prioritizing initiatives for maximum enterprise impact.
• Serves as a member of the team providing strategic compliance advice to senior and executive leaders across TMG and its insurance company clients.
• Designs, implements and oversees a comprehensive compliance program for multiple insurance companies and related subsidiaries, with focus on insurance industry licensing, reporting, regulatory compliance support to business units, management of DOI data calls and related compliance functions, and tracks and reports compliance-function metrics to management and insurance-company clients utilizing an industry-standard CCM system.
• Conducts ongoing compliance audits and participates in and facilitates enterprise risk assessments to identify, classify and address potential compliance risks.
• Ensures effective enterprise-wide communication, education, and training on compliance policies, procedures, and regulatory requirements.
• Provides expert advice to business units on regulatory and compliance, with deep knowledge in the insurance industry.
• Participates in or coordinates compliance reviews of insurance policies or endorsements, underwriting and distribution guidelines and procedures, claims guidelines and procedures, and other related operations materials to mitigate risk and facilitate business objectives.
• Assists in the management of regulatory examinations, privileged internal investigations, litigation or dispute resolution processes, and related remediation initiatives.
• Develop and maintain current and effective compliance policies and procedures, in collaboration with business units, by monitoring changes in laws and regulations, providing clear, actionable guidance to the business.
• Monitors legislative and regulatory developments impacting the organization and advises leadership on implications and required actions, with a focus on driving the business forward.
• Prepares and delivers compliance updates to or for the General Counsel, insurance company-client company legal counsel, Board of Directors and senior management, including proactive notification of trends and insights identified through legal audits and data management.
• Leads, develops, and mentors compliance and legal team members and, fostering a culture of integrity, accountability, and cross-functional collaboration.

• Minimum 10 years of progressively complex roles in insurance industry legal and compliance related roles.
• Law Degree from an accredited law school strongly desired.
• Experience leading through influence, with a strong record of partnering with executive leaders to impact business strategy and drive organizational success in a fast-paced environment.
• Preference for experience developing and executing a compliance program, with emphasis on migration from manual to digital environment, change management and continuous improvement.
• Expertise of insurance industry related laws and regulations and ability to communicate impacts in business…