Upland Capital Group, Inc. is an AM Best rated “A-” VIII specialty property/casualty insurer headquartered in Dallas, Texas. Through its wholly owned insurance carrier, Upland Specialty Insurance Company, the company markets, underwrites and services specialty insurance products in select markets to include excess transportation, construction casualty, excess casualty, primary general liability, excess public entity, professional liability errors and omissions as well as excess cyber liability.  

We focus on “old school” underwriting as a craft, add “new school” analytics and technology, and encourage a gritty, growth mindset among people called “we entrepreneurs.”

As an Excess and Surplus (E&S) carrier, we face unique and interesting challenges every day. We are seeking a Compliance Manager to join our Security, Risk, and Governance team.

Primary Function: 

The role of the Compliance Manager ensures Upland adheres to all applicable federal, state, and regulatory requirements, including those governing surplus lines insurance. This role is responsible for developing, maintaining, and monitoring internal compliance practices, managing state filings and licensing requirements, and driving implementation of new regulatory policies and procedures across the organization. This role also oversees loss control compliance, third party risk assessments (including SOC II reviews), surplus lines disclosure obligations, and complaints handling. This is a critical cross-functional position requiring collaboration with Legal, Underwriting Operations, Technology, and Finance to proactively identify, assess, and mitigate compliance risks across the enterprise. This role may also assist with conducting periodic internal reviews and audits to ensure compliance with laws, rules, and regulations, and will maintain a broad working knowledge and awareness of the Non-Admitted (Surplus) industry on compliance monitoring and regulatory reporting.

Duties and Responsibilities:

• Develop, implement, and maintain internal compliance policies and documentation aligned with state and federal regulations including Compliance Guidelines, Corporate Governance, Conflict of Interest, and Compliance Policy and Procedures
• Support enterprise-level governance reporting by preparing compliance updates for executive leadership and Board or Committee presentation, highlighting emerging risks and regulatory trends
• Monitor and interpret regulatory updates, bulletins, and rule changes. Assess potential impact and communicate with stakeholders
• Coordinate the creation, filing, and maintenance of regulatory documentation related to surplus lines, including state-specific compliance and surplus lines disclosure obligations
• Own and execute regulatory annual state filings including license renewals, state fees, data calls, surveys or ad hoc state requests and inquiries
• Oversee the company’s loss control compliance efforts, including coordination with the claims team
• Review and manage third-party vendor compliance, including annual SOC II Type II report reviews and action planning with stakeholders
• Establish guidelines and assist with the development and implementation of records retention policy and disposal schedules in compliance with state and government authorities
• Partner with data engineers, application system owners, and business units to automate regulatory data capture and compliance reporting processes
• Design and coordinate the preparation and ongoing review of policies, procedures, training materials and other communication tools to ensure departments meet compliance requirements
• Partner with affected business stakeholders in achieving the proper state of regulatory audit/exam readiness
• Assist with state regulatory audits and exams by coordinating internal responses, managing documentation, and serving as a key contact for regulators and auditors
• Maintain and track document form changes for policy issuance, test and monitor implementation along with communication with leadership and stakeholders of each business unit
• Ensure policies are issued in compliance with all applicable federal and state regulations and filing requirements
• Manage state specific agency license requirements and renewals
• Coordinate, maintain and follow-up with any company complaints to ensure they are investigated and resolved
• Identify compliance and regulatory risk, establish risk controls, and facilitate risk assessments to identify any deficiencies or weakness in process controls
• Track and report on compliance projects, filing metrics, and system-based dashboards using relevant regulatory and state specific reporting tools
• Partner and establish strong working relationships with members of the Executive and Senior Leadership teams
• Advise Senior Management and key stakeholders on compliance with laws, regulations, and other relevant regulatory requirements

Experience, Education, Special Skills Required:

• Bachelor’s degree in business or accounting
• 5+ years experience in compliance with E&S and/or P&C carrier
• Solid background in statistical, analytical and organizational skills
• Possess the ability to collaborate and build partnerships with several business units in the company
• In-depth knowledge and applied skills in Compliance measures and requirements
• Proficient in MS office and experience with Verisk/ISO Net
• Exceptional written and verbal skills
• Extremely detail oriented and ability to work independently
• Self-starter with industry knowledge & a growth mindset
• Ability to work in a team environment with remote and in-office team members

Disclosures:

Pay Estimate: $125,000 - $135,000/year

Other compensation: annual incentive program

Benefits: health insurance including FSA and HSA options and free access to Teladoc, vision, dental, disability and life insurance, parental leave, responsible time off (unlimited vacation days without an accrual system), paid sick time as required by law, 401(k), tuition reimbursement and employee assistance program.

Anticipated close date: August 27, 2025