Insurance Compliance Specialist

Position Summary 

The Insurance Compliance Specialist – Appointments plays a critical role in ensuring the firm remains compliant with state insurance regulations by managing insurance carrier and MGA appointment processes for our colleagues. This includes reviewing and fulfilling service requests, obtaining internal approvals, collecting and submitting documentation, and ensuring all actions comply with internal policies and external requirements. The Specialist will be a point of contact for colleagues, carriers, and regulators on appointment matters and will assist with the continuous improvement of processes and procedures.

KEY RESPONSIBILITIES

Appointments

• Monitor the Appointment service request system (FreshDesk) and respond to all inquiries within established SLAs

• Obtain required internal approvals and collect supporting documentation for new carrier appointments in accordance with firm policy

• Perform quality assurance on, submit, and follow up on appointment requests with carriers and MGAs

• Manage the creation of Node IDs through LexisNexis

• Update agency principals with Insurance Company Partners (ICPs)

• Assist Accounting with updating banking information with ICPs as needed

• Assist with internal book moves and book moves related to acquisitions

• Review Insurance Company Downgrade notices and notify Leadership (Legal and Business)

• Collaborate with Legal, Compliance, and Operations teams to resolve complex appointment issues or escalations

• Conduct internal audits of appointment records to ensure compliance with state regulations and company policy

• Prepare documentation and respond to state DOI audits or inquiries as needed

• Track and report on appointment metrics, including turnaround times, volumes, and exceptions

• At the direction of Leadership, assist with appointment-related projects and process improvement initiatives

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The Baldwin Group will not accept unsolicited resumes from any source other than directly from a candidate who applies on our career site. Any unsolicited resumes sent to The Baldwin Group, including unsolicited resumes sent via any source from an Agency, will not be considered and are not subject to any fees for any placement resulting from the receipt of an unsolicited resume.