Insurance Compliance Officer
- Compensation
- Not disclosed
- Location
- Naugatuck, Connecticut, United States
- Work setup
- Onsite
- Seniority
- Not specified
- Employment
- Not specified
- Experience
- 3+ years
- Category
- Legal
- Posted
Must have
- 3+ years of experience in insurance compliance, agency operations, or a related regulatory role
- Active Connecticut Property & Casualty and/or Life & Health license preferred (or ability to obtain within 90 days)
- Working knowledge of state insurance regulations, E&O risk factors, and agency licensing requirements
- Strong attention to detail and organizational skills
- Excellent written and verbal communication skills
- Ability to work independently and collaboratively with producers and leadership
- Experience with agency management systems (EZLynx preferred, but not required)
- Prior experience in an independent agency setting is a plus
Nice to have
- Familiarity with commercial lines, personal lines, and specialty insurance compliance requirements
- Experience developing or delivering staff training programs
- Background in audit processes or quality control within an insurance or financial services setting
Full description
Insurance Compliance Officer
Muni Insurance, Inc. — Waterbury, CT
About Us
Muni Insurance, Inc. is a full-line independent insurance agency based in Waterbury, CT, offering personal lines, life & health, commercial, and specialty coverage to individuals and businesses throughout Connecticut. As we scale our team and expand our book of business, we're building out the operational infrastructure to support sustainable, compliant growth — and we're looking for a Compliance Officer to help lead that effort.
Position Summary
The Insurance Compliance Officer will be responsible for ensuring the agency's operations, licensing, documentation, and client-facing practices meet all state and federal regulatory requirements. This role will work closely with agency leadership and producers to build and maintain compliance processes as the agency grows, including licensing management, E&O risk mitigation, carrier appointment compliance, and staff training on regulatory standards.
This is an excellent opportunity for a detail-oriented professional who wants to play a foundational role in shaping compliance systems at a growing independent agency.
Key Responsibilities
- Monitor and ensure compliance with Connecticut Department of Insurance regulations and other states if applicable
- Track and maintain producer and agency licensing, appointments, and continuing education requirements
- Review policy documentation, client files, and correspondence for regulatory and E&O risk compliance
- Maintain and update agency compliance policies and procedures, including privacy practices (e.g., NPI/PII handling) and anti-fraud protocols
- Partner with agency leadership to ensure IC producer agreements, commission structures, and onboarding materials meet regulatory standards
- Conduct periodic internal audits of client files, renewal documentation, and quoting/binding practices
- Serve as the primary point of contact for carrier compliance requests and E&O carrier inquiries
- Develop and deliver staff training on compliance topics, including proper documentation, disclosure requirements, and record retention
- Stay current on regulatory changes affecting personal lines, commercial lines, life & health, and specialty insurance products
- Support renewal and retention processes by ensuring follow-up documentation meets compliance standards
- Maintain organized compliance records within the agency management system (EZLynx)
Qualifications