Manager, Compliance and Filings

Manager, Compliance and Filings



The Compliance Filings Manager oversees and coordinate all activities of the Filings and Postproduction team, ensuring compliance with state regulations, efficient processes, and timely product filings and postproduction deliverables. This role will also be responsible for driving continuous process improvement and participating in key company projects.


Job Responsibilities:

  • Manage and train Filings and Compliance Interns and staff, providing work direction and managing performance.
  • Manage the GLC Filings Tracker, ensuring timely updates and accurate status tracking.
  • Develop and monitor metrics for the Filings Team’s work and capacity, identifying areas for improvement and implementing process enhancements.
  • Develop and update process and procedures documents for the Filings Team, standardizing practices and promoting consistency.
  • Serve as the stakeholder in all Document Management and AAISdirect development meetings, representing the Filings Team and providing valuable insights.
  • Develop user guides for aspects of the new Document Management system and how the Filings Team will operate within it.
  • Actively participate in the outreach and communications project, being accountable for creating and publishing GLC’s compliance content.
  • Serve as the point of contact for large-scale filing projects such as NCEF, managing the planning, organization, and execution of the Filing Team’s work on the project.
  • Coordinate internal audits on filing examples and our bulletin process, ensuring adherence to established standards and regulations.



  • Minimum 5+ years’ experience in insurance preferably compliance or bachelor’s degree in business insurance or related field
  • Demonstrated leadership skills and ability to manage a team.
  • Strong written and verbal communication skills, with the ability to engage effectively with various stakeholders.
  • Demonstrated ability to plan, organize, and execute complex projects.
  • Proficient in MS Office Products, particularly Word and Excel.
  • Ability to learn and adapt to company-specific systems and procedures.
  • Familiarity with compliance tools such as LexisNexis State Net is a plus.
  • Full capability to file and process reports in SERFF


Knowledge, Skills and Abilities:

  • Leadership: Ability to guide and support team members, fostering an environment of continuous improvement.
  • Communication: Strong interpersonal skills and the ability to liaise effectively with various internal and external stakeholders.
  • Project Management: Proven ability to manage complex projects from conception through to execution.
  • Analytical Skills: Ability to interpret data, identify trends, and make data-driven decisions.
  • Problem-Solving: Ability to identify problems and implement effective solutions.
  • Adaptability: Ability to learn quickly and adapt to new systems and procedures.


Resumes to: