Senior Regulatory Compliance Specialist

Senior Regulatory Compliance Specialist - On-site or Hybrid Opportunity in IA, West Des MoinesThe 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.Inquiry & Complaint ManagementReceive, 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 & ResolutionConduct 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.Compliance Monitoring & ReportingIdentify 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.Cross-Functional CollaborationPartner 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.QualificationsBachelor's degree in Legal Studies, Business, Public Administration, or related field required; advanced degree or certification (e.g., paralegal, compliance certification) preferred.Minimum of 5 years of experience in legal, compliance, or investigative roles.Strong understanding of regulatory frameworks and corporate compliance practices.Experience conducting investigations and managing sensitive information.Excellent written and verbal communication skills.High ethical standards and discretion.Strong analytical and problem-solving abilities.Ability to manage multiple priorities and work independently.Proficiency in Microsoft Office and case management systems.Ability to work collaboratively across departments.Infrequent travel required.BenefitsWe are proud to offer a robust benefits suite that includes:Competitive base salary plus incentive plans for eligible team members401(K) retirement plan that includes a company match of up to 6% of your eligible salaryFree basic life and AD&D, long-term disability and short-term disability insuranceMedical, dental and vision plans to meet your unique healthcare needsWellness incentivesGenerous time off program that includes personal, holiday and volunteer paid time offFlexible work schedules and hybrid/remote options for eligible positionsEducational assistanceJob Title: Senior Regulatory Compliance Specialist - On-site or Hybrid OpportunityLocation: IA, West Des Moines