Job Description

Job Description

Job Description

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.

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.

REQUIRED SKILLS AND 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 AND EXPERIENCE

• Series 24

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