• Compliance Manager

    Job Locations US-TX-Dallas
    Req #
    Location Name
    (NLC) Dallas, TX - Dallas
    Company Name
  • Job Summary

    The Compliance Manager would be responsible for ensuring that National Lloyd’s policies and procedures are aligned with applicable regulatory and compliance requirements. In addition to leading efforts with the implementation of new regulatory requirements, this person is also responsible for monitoring National Lloyd’s continued adherence to established regulatory requirements. The Compliance Manager is responsible for supporting the regulatory reporting and audit liaisons functions and will revise the program in response to the changing needs of the organization, laws, and governmental policies.

    Essential Functions

    • Further develop the insurance regulatory compliance program; manage compliance matters including regulatory research and filings
    • Develop and maintain effective working relationships with individuals in other functions and/or business units responsible for the execution of compliance activities
    • Provide onsite assistance to General Counsel on routine legal matters
    • Partner with Legal and Risk functions on an as needed basis to address remediation and improvement efforts
    • Provide guidance and support as a subject matter expert to process owners for any implementation or remediation activities, including documentation of action plans
    • Oversee and conduct periodic divisional/departmental compliance reviews
    • Research and report on regulatory changes to ensure compliance
    • Assist with training new employees on compliance procedures and answer questions regarding policies
    • Create and maintain detailed records of the findings for auditing and process improvement purposes
    • Preparation of various daily, weekly and monthly compliance and internal control reports
    • Other duties as assigned

    Job Requirements

    • Bachelor’s degree preferred
    • 3-5 years of related experience required
    • Prior insurance and compliance experience required
    • Preferred, strong understanding of regulations and compliance as related to financial services
    • Skill in recommending remediation and mitigation strategies for control weaknesses
    • Must have appropriate skills with the standard workstation software utilized to perform daily duties, e.g., Word, Excel, Visio, etc.
    • Excellent organizational and project management skills with the ability to manage multiple tasks and projects simultaneously.
    • Excellent written, verbal, and interpersonal communication skills with the ability to work independently or with others as the situation dictates.

    About the Company

    National Lloyds Corporation, which traces its origins to 1948, is a niche property and casualty underwriter that is a leader in underserved markets in Texas and other Southern states. National Lloyds Corporation specializes in writing fire and homeowners’ insurance coverage for low value dwellings and manufactured homes. Insurance policies are sold by more than 4,200 independent agencies through two wholly owned subsidiaries of National Lloyds Corporation: National Lloyds Insurance Company and American Summit Insurance Corporation. The companies are licensed to sell insurance in over 30 states. National Lloyds Corporation is a subsidiary of Hilltop Holdings, Inc. With $11.9 billion in assets and $1.7 billion in common equity as of December 31, 2015, Hilltop Holdings Inc. (NYSE:HTH) is a Texas-based diversified financial holding company specializing in banking, mortgage origination, financial advisory and insurance through its wholly owned subsidiaries, PlainsCapital Corporation, National Lloyds Corporation, and Hilltop Securities Holdings. 


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