Director Regulatory Compliance

19 Nov, 2020


Director Regulatory Compliance

Upstream Life Insurance Co.
Oxford, MS/Baton Rouge, LA

The Director Regulatory Compliance helps to ensure compliance with various state and federal insurance, health and financial regulations. The duties consists of preparation and filing of various regulatory reports, assessments, license renewals and officer/director changes for the Upstream Family of Companies; serving as the primary point of contact for unclaimed property management and performing such other duties as required.

  • Notifying state insurance departments of changes to corporate officers and directors. This includes preparing biographical affidavits, coordinating fingerprinting submissions and background investigations.
  • Prepare and submit secretary of state annual reports.
  • Navigate state insurance department websites, read and interpret regulatory filing instructions and prepare accurate and timely submissions for various regulatory reports and filings.
  • Prepare and submit payment of required financial assessments and other regulatory fees via check and/or electronic methods.
  • Maintain and update due date charts for regulatory filings. Maintain appropriate records of filings and payments electronically on shared department portal.
  • Preparing license renewals and maintain license status charts.
  • Prepare and file annual expense related reports for the Company’s board of directors.
  • Prepare and coordinate payment of monthly/quarterly fees with various states.
  • Scan, copy, file, submit invoice approvals and perform other administrative functions as necessary.
  • Manage and enhance regulatory relationships and compliance.



  • Bachelor’s degree.
  • Prior regulatory or department of insurance employment.
  • An enhanced understanding of financial and insurance regulatory concepts; knowledge of NAIC and state filing systems.
  • Basic accounting skills.
  • Proficiency in MS Excel, MS Word, Outlook and other computer applications.
  • Strong verbal and written communication; the ability to effectively interact with internal staff, regulators and claimants.
  • Attention to detail; the ability to enter data timely and accurately into reports and online systems, and to maintain adequate records of filings and payments.
  • Self-motivated, with the ability to work independently, to organize competing priorities and adhere to deadlines.
  • Strong analytical and problem-solving skills, and the ability to quickly and continually learn new processes and procedures.
  • Ability to handle sensitive information with discretion and confidentiality.

Seniority Level: Director

Industry: Insurance

Employment Type


Job Functions: Legal

This job position may be based in either our Oxford, MS headquarters or our Baton Rouge, LA location in coordination with candidate request.

Learn more here

Job posted: 2020-11-19