Job Description
Insight Global is seeking a full time Compliance Specialist in Kentwood, MI.
This individual will work closely with other compliance team members to ensure a high level of compliance with respect to regulatory requirements as well as legal, operational, continuing education and financial risk management policies.
The role of the compliance team is to work with affiliates to ensure that they are meeting, or exceeding, regulatory requirements.
The Compliance Specialist will work with affiliates to ensure resolution of any deficiencies while adhering to regulations. There may be some travel involved with this position as the Compliance team works to complete branch audits throughout the country on an 3 year cycle.
Major Responsibilities:
• Perform principal review tasks related to social media, websites and general advertising.
• Work with affiliates to answer general compliance questions
• Work with the marketing team to develop advertising best practices
• Perform data pulls for audits
• Work on general compliance projects and review activities
• Work with affiliates to resolve compliance related deficiencies
• Work on licensing requirements for additional review responsibility
• Keep up to date with relevant regulations both at the state and federal level.
We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.
Required Skills & Experience
-Series 7 license AND
-either Series 65 or 66 or Series 24 licenses
-3+ years in financial compliance role
-customer focused attitude and ability to communicate effectively with multiple stakeholders and parties
-understanding of financial audits
Nice to Have Skills & Experience
series 24
Benefit packages for this role will start on the 1st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.