Senior Regulatory Compliance Specialist - On-site or Hybrid Opportunity

Overview

Senior Regulatory Compliance Specialist - On-site or Hybrid Opportunity at The Mutual Group. The Senior Regulatory Compliance Specialist - Legal and Compliance plays a key role in supporting the organization's commitment to integrity, accountability, and regulatory adherence. This position is responsible for managing and resolving inquiries, complaints, and investigations related to compliance and legal matters, including market conduct exams. The role requires strong analytical skills, sound judgment, and the ability to communicate effectively across departments. The Senior Specialist will collaborate with internal stakeholders to ensure timely and thorough resolution of issues, while identifying trends and recommending improvements to policies and procedures. This position contributes to fostering a culture of transparency and ethical conduct throughout the organization.

Responsibilities

• Receive, document, and assess incoming inquiries and complaints related to legal and compliance matters.
• Ensure timely and accurate responses in accordance with internal protocols and regulatory requirements.
• Maintain detailed records and logs for tracking and reporting purposes.
• Conduct thorough investigations into reported concerns, including fact-finding, interviews, and evidence review.
• Collaborate with Legal, Claims, Underwriting, and other departments to determine appropriate resolutions.
• Draft investigation summaries and recommendations for corrective actions or policy updates.
• Ensure confidentiality and compliance with applicable laws and internal standards.
• Identify trends and recurring issues from inquiries and investigations.
• Assist in developing and refining compliance policies and procedures.
• Prepare reports and presentations for leadership and regulatory bodies as needed.
• Support internal audits and regulatory reviews.
• Partner with Legal, Claims, Underwriting and other departments to ensure consistent handling of compliance matters.
• Provide guidance and support to business units on compliance-related questions.
• Participate in training and awareness initiatives to promote a culture of compliance.
• All other duties as assigned.

Qualifications

Benefits

TMG

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