Compliance Program Manager

Job Description

About The Company:

Private Client Select Insurance Services (PCS), is an independent managing general underwriter (MGU) majority owned by Stone Point Capital. PCS protects the lifestyles and legacies of the most successful individuals across the U.S by providing robust risk management solutions and comprehensive coverage to preserve high-value assets. We understand their passions and are committed to preserving the lifestyles they have built.

PCS employs approximately 420 staff members. The company has offices in New York, NY; Schaumburg, IL; and St. Petersburg, FL. PCS has a geographically diverse workforce and supports hybrid and remote business-based flexibility.

Job Summary:

The Compliance Program Manager is responsible for overseeing and executing the regulatory compliance functions of PCS. This role ensures PCS maintains full compliance with all applicable state, federal, and international insurance regulations. The ideal candidate will lead initiatives across policy management, licensing, training, audits, and vendor oversight while partnering closely with legal and operational stakeholders. The role plays a critical part in protecting PCS’s reputation, managing risk, and fostering a culture of compliance and integrity. The Compliance Program Manager reports directly to PCS’s Chief Legal and Compliance Officer (CL&CO). Remote work may be considered for qualified candidates.

Key Responsibilities:

Regulatory Compliance Oversight

• Ensure PCS complies with all applicable state, federal, and international insurance and other applicable regulations.
• Keep current with and internally report changes in laws, regulations, and licensing requirements.
• Align with PCS Legal and internal teams to timely and effectively implement changes to regulatory requirements applicable to PCS
• Monitor operational effectiveness of changes and mitigate any issues.
• Manage PCS sanctions and adverse media screening process, including resolving false positives and internal escalations/reporting.

Policy and Procedure Management

• Align with CL&CO to develop, implement, and update internal compliance policies and procedures.
• Oversee online employee compliance training including tracking completions, issuing reminders, reporting delinquencies to supervisors and PCS management as appropriate, updating courses to meet or exceed state training requirements.

Licensing and Document Management

• Oversee compliance with licensing requirements for PCS entities and employees, producers, and affiliates.
• Ensure timely and accurate filing of required regulatory reports and submissions.
• Coordinate with E&S Compliance Manager for E&S regulatory filing requirements.
• Maintain database of all PCS entity and individual licensing documentation, including continuing education and E&S PCS’s in coordination with E&S Compliance Manager.

Complaints, Inquiries, Examinations, and Audits

• Oversee PCS’s internal hotline and coordinate with PCS Legal to respond to concerns raised.
• Coordinate with Legal, Operations, Distribution, and carriers on customer and producer complaint responses.
• Manage regulatory and carrier inquiries, examinations, and audits.
• Coordinate with Legal, Operations, Finance, and business personnel to implement necessary corrective actions across PCS and monitor and report on effectiveness of corrective actions.

Vendor Management

• Manage relationship with PCS’s online training and hotline services provider.
• Manage relationship with PCS’s sanctions and adverse media screening provider.

Equal Employment Opportunity Policy:

PCS values and is fully committed to and . It is the policy of PCS not to discriminate against any applicant for employment, or any employee because of , , , , nation of , , , , , or veteran status.