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Manager, Compliance Operations

VertaforeLegal & Compliance
Salary
$120K–$140K
Hiring from
United States
Work type
Hybrid
Posted
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$120,000 - $140,000 / year

The insurance industry runs on Vertafore. We equip agencies, MGAs, and carriers with the core digital systems, specialized AI, and data-driven foundation to eliminate distribution drag across the insurance lifecycle, spanning sales, servicing, and back-office operations.

Underpinned by unmatched speed and performance power, we are the trusted backbone that’s taking the insurance industry from friction to flow with Distribution Velocity – speed, performance, and trust - to drive growth at scale.

With over 95% of the top agencies and insurers and 50% of industry compliance transactions running through Vertafore, we lead at the intersection of innovation and trust, giving insurance professionals the confidence to transform and win in the AI era.

Our reach is global, with headquarters in Denver, Colorado, and offices across the U.S., Canada, and India.

Core Duties and Responsibilities:

The Manager, Compliance Operations & Assurance manages the operational execution of Vertafore’s audit, certification, customer assurance, and vendor assessment activities. The role coordinates internal and external stakeholders, maintains audit-ready evidence and assessment records, monitors deadlines and corrective actions, and improves processes to support efficient, consistent delivery.

This is a hands-on operational management position, focused on execution, documentation, workflow management, and accountability.

Audit & Certification Management

  • Manage and coordinate internal and external audit activities, including SOC 1, SOC 2, SOX, GovRAMP, corporate assessments, and other applicable assurance programs.

  • Maintain audit calendars, milestones, evidence requests, owners, and submission deadlines; serve as an operational liaison with auditors and assessment teams.

  • Coordinate evidence collection, quality checks, organization, and submission; maintain centralized, audit-ready documentation and reusable evidence repositories.

  • Track findings, corrective action plans, and remediation deadlines with accountable owners; escalate overdue items and document closure.

  • Streamline recurring audit activities and reduce duplicative requests.

Customer Assurance & Compliance Assessments

  • Manage customer security and compliance questionnaires, customer audit requests, due diligence inquiries, and supporting documentation.

  • Coordinate timely, consistent responses with Sales, Customer Success, Cybersecurity, Legal, and other subject-matter experts.

  • Maintain approved response libraries, certifications, attestations, audit reports, and reusable evidence packages.

  • Implement response standards, intake and prioritization workflows, and self-service or automation opportunities.

  • Monitor assessment volumes, turnaround times, service levels, and backlog.

Vendor Assessments & Third-Party Compliance Operations

  • Coordinate initial vendor due diligence, periodic reassessments, and vendor compliance documentation for onboarding and renewal.

  • Manage vendor assessment intake, questionnaires, documentation requests, and assignments in OneTrust or other approved platforms.

  • Maintain current assessment records, SOC reports, certifications, supporting evidence, status, and reassessment schedules.

  • Route vendor responses and identified concerns to Cybersecurity, Legal, Procurement, and appropriate decision-makers for substantive evaluation.

  • Track outstanding documentation, follow-up actions, overdue assessments, and completion against established procedures and deadlines.

  • Standardize templates, improve workflows, and report on assessment volume, cycle time, completion rates, and backlog.

Compliance Operations & Process Improvement

  • Run recurring compliance operations and maintain documented procedures, checklists, workflows, and evidence management practices.

  • Administer compliance workflow tools, repositories, and tracking systems; ensure accurate records and clear ownership of deliverables.

  • Identify bottlenecks, automate repetitive activities, and improve consistency, efficiency, and operational scalability.

Cross-Functional Coordination, Reporting & Team Management

  • Coordinate priorities and deliverables across Cybersecurity, Technology Operations, Finance, Legal, Procurement, Sales, and business teams.

  • Prepare dashboards and management reports on audit milestones, customer and vendor assessment activity, evidence readiness, and open actions.

  • Oversee assigned compliance operations personnel, establish service standards, assign work, coach team members, and monitor capacity.

  • Escalate missed deadlines, unresolved dependencies, and resource constraints through established channels.

Knowledge, Skills and Abilities:

  • Strong project management, documentation, communication, stakeholder coordination, and deadline-management skills.

  • Proficiency with Microsoft Office, SharePoint, and workflow or project management systems.

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