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Senior Manager Regulatory Compliance

Senior Manager Regulatory Compliance

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Esurance is hiring a Senior Manager, Regulatory Compliance to join our Compliance team in the Rocklin, CA office.  As the Senior Manager, Regulatory Compliance you will provide oversight, management and guidance to ensure the company's insurance operations are conducted in compliance with ethical business practices, company policies and legal/regulatory requirements. Additionally, you will be responsible for managing all aspects of agent/adjuster/appraiser and Agency licensing as well as building and maintaining a proactive compliance program to identify and resolve potential compliance exposures in order to enhance Esurance's reputation in the regulatory arena and minimum regulatory risk.  


  • Serves as the primary liaison between Esurance and the State Insurance Departments and other regulatory entities for all compliance related matters.
  • Manages Department of Insurance Market Conduct Examinations and carrier audits; coordinates reviews of previous Market Conduct Examinations findings to assess current regulatory/market conduct exposures.
  • Responds to regulatory inquiries and/or administrative actions related to company policies and procedures and compliance with state-specific regulations.
  • Ensures accurate and timely submission of all premium surveys and the National Association of Insurance Commissioners (NAIC) Market Conduct Annual Statement.
  • Manages the Regulatory Compliance Team which is responsible for tracking, distributing, researching and responding to the Department of Insurance, the Better Business Bureau, and direct written consumer complaints.
  • Manages the compliance audit function, which includes state compliance audits, targeted audits, and the review of previous market conduct findings to assess current regulatory/market conduct exposures across the various lines of business and jurisdictions.
  • Partners with internal departments to establish action plans for corrective action of examination criticisms and/or audit findings; implements action plans and monitoring activities.
  • Analyzes compliance risks and exposures both internal and external to Esurance; prioritizes and develops an internal audit plan to assess compliance risks on an annual basis.
  • Manages the Licensing Unit, which is responsible for ensuring compliance with all states’ agent, adjuster and appraiser licensing requirements and appointment requirements for employees and Partner Agents.
  • Plans and manages the licensing and appointments of Partner Product Team in support of the Agency’s marketing initiatives; i.e. property insurance and specialty line of business sales.
  • Oversees coordination of continuing education requirements for all licensed employees.
  • Ensures compliance with all states’ business entity licensing and appointment requirements for the Agency, including Secretary of State Qualifications and all merger-related activities.
  • Researches and interprets state and federal legislation, state bulletin/circulars and other regulatory material to determine impact to business operations.
  • Ensures customer and corporate compliance with state regulations, which includes analysis of information, coordination, and consultation with customers and internal departments.
  • Prepares reports and presentations for the Board of Directors on regulatory activities.
  • Manages relationships with various compliance vendors including, Kaplan Financial, National Insurance Producer Registry (NIPR), Wolters Kluwers, ODEN, and
  • Serves as the designated Agent for Service of Process for all Esurance companies, which includes logging and forwarding all service of process received within 24 hours.
  • Conducts monthly analysis of compliance and licensing budget to ensure expenses are within forecasted budget.
  • Establishes departmental goals and implements procedures and performance standards to achieve these goals; manages, coordinates, monitors and evaluates the activities of assigned staff.
  • Responsible for the employment, promotion, associate performance evaluation, training, motivation, counseling, and discipline of assigned associates.


  • Detail-oriented with strong organizational skills, able to work well under deadlines in a changing environment and perform multiple tasks effectively and concurrently.
  • Able to work effectively both independently, and within a collaborative team oriented environment using sound judgment in decision-making.
  • Excellent leadership, project management and coaching skills.
  • Effective communication skills, both verbal and written, with strong analytical and problem solving skills; able to exercise diplomacy and discretion when needed.
  • Able to develop and maintain effective working relationships with internal partners and external vendors.
  • Able to design and deliver technical training programs to support staff.
  • Comprehensive knowledge of personal lines insurance industry, products and features.
  • Able to interpret regulations and analyze impact to business operations.
  • Demonstrated knowledge of Microsoft Office products (Outlook, Excel, PowerPoint, and Word) required.
  • Proficiency with WKFS Insurance Solutions, ODEN, and licensing software preferred


Education / Experience:

  • Bachelor’s degree in Business, Risk Management, Insurance, Public Administration, a related field, or equivalent experience required
  • 3 or more years of experience in a management role required
  • 10 or more years of legal or regulatory compliance experience in an insurance company desired
  • Associate in Regulatory Compliance (ARC), Market Conduct Management (MCM or AMCM), Certified Compliance & Ethics Professional (CCEP) or Chartered Property and Casualty Underwriter (CPCU) designation preferred


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