Senior Regulatory Compliance Specialist - On-site or Hybrid Opportunity

Job Description

Job Description

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.

Accountabilities :

Inquiry & Complaint Management

• 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.

Investigation & Resolution

Compliance Monitoring & Reporting

Cross-Functional Collaboration

Qualifications :

Benefits :

We are proud to offer a robust benefits suite that includes :

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