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Director of Compliance


This position reports into the Chief Legal and Compliance Officer for Generali North America.  The position oversees the compliance and licensing teams and plans and directs complex regulatory initiatives and compliance activities within the organization. This position plans, directs and supports product creation and implementation by performing the duties listed below, personally or through staff. 


  • Bachelor's degree (B. A.) from four-year college or university;
  • Experience in legal or risk management is preferred;
  • Six or more years related experience;
  • Four or more years in a leadership or management position;
  • Extensive knowledge concepts, practices and procedures in the field.

KEY POSITION RESPONSIBILITIES (other duties may be assigned): 

Corporate Compliance

  • Researches new and existing laws, regulations, policies and industry standards, and identifies existing and emerging business practice issues and risks of the company. 
  • Proposes solutions relating to current and new regulatory compliance requirements, guidelines and bulletins that impact the company’s products and overall business. 
  • Responsible for continuously reviewing industry compliance issues, proactively initiating timely changes when necessary, and managing clear communication and coordination with the underwriters’ legal teams to minimize compliance risks. 
  • Directs and manages compliance requirements for partnerships including agreements, amendments, product schedules, confidentiality agreements, business associate agreements (HIPAA + GLB), production bonus and additional compensation offers, software agreements, marketing agreements, and broker agreements. 

Strategic Planning

  • Partners with the management team and executives to develop a strategic vision for the company, and directs the activities of staff to support these objectives. 
  • Develops and implements goals, policies, priorities and procedures relating to compliance, licensing, and risk management.   
  • Participates in the development of the annual department budgets, supports the underwriter audits and compliance reporting needs.  


  • Secures and maintain licenses, foreign authority, bonds and other filings necessary for company to perform as an insurance Producer, Managing General Agent and Claims Adjusting entity. 
  • Coordinates necessary underwriter appointments for all active agent and/or agency licenses.

Compliance Management and Testing

  • Evaluates the adequacy of internal controls and external programs, identifies business processes that hinder compliance and/or violate regulatory guidelines, and develops and implements solutions to correct actions and prevent future issues.   
  • Corresponds directly with Departments of Insurance, the Better Business Bureau and other regulatory agencies regarding industry initiatives, notices and bulletins, complaints, inquiries and investigations. 

Product Development

  • Plays a leadership role with the development and implementation of new and enhanced policy form filing language to support new lines of business and new market needs, in congruence with underwriter intent, in compliance with regulatory institutions, and in alignment with CSA profitability and customer service goals. 
  • Coordinates with Sales, Business Excellence and the Product Team to design compliant products that meet the needs of the company and our business partners. 
  • Participates as the compliance expert in developing creative solutions to product issues with the objective of maximizing opportunities for profitability and minimizing compliance risks. 

Product Implementation

  • Directs and manages the end-to-end process of creation and distribution of proper insurance contract fulfillment to customers, ensuring adherence to form filings
  • Oversees, evaluates and enforces the marketing compliance review and approval process of all marketing collateral. 
  • With regards to product compliance, oversees the installation, initial quality assurance and ongoing maintenance/testing of CSA products onto company websites, partner websites and in CSA’s operating system. 

Management and Leadership

  • Builds and maintains a high performance, team-based culture through effective performance management, career development, communication and coaching of staff.
  • Manages all personnel activities of staff including, but not limited to, hiring, training, rewarding, motivating, disciplining, terminating, preparing and delivering performance reviews, and conducting compensation discussions.
  • Is a role model of CSA Travel Protection corporate values and principles.
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