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.

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 problems every day. We are seeking a Premium Audit Manager to join our Underwriting Operations and Technology team. Primary Function: The Premium Audit Manager is responsible for supporting the business operations and profitability performance goals of the premium audit department through directing the day-to-day operations of premium audit for Excess & Surplus underwriting divisions. This role will manage a small team of internal Premium Auditors and coordinate external relationships with collection teams. The Premium Audit Manager will review the Premium Audit existing processes and workflows for efficiency improvements.