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Regulatory Compliance Specialist - On-site or Hybrid Opportunity

Regulatory Compliance Specialist - On-site or Hybrid Opportunity

The Mutual GroupWest Des Moines, IA, US
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Job Description

Job Description

The Regulatory Compliance Specialist will play a key role in supporting TMG’s compliance operations on behalf of our mutual insurance carrier clients. This individual will be responsible for managing subpoena processing, ensuring licensure compliance for entities and individuals, maintaining a global compliance calendar, and serving as a commissioned notary public. This position requires strong organizational skills, attention to detail, and the ability to manage multiple priorities in a fast-paced, client-focused environment.

Accountabilities : Subpoena Processing

  • Receive, log, review, and coordinate responses to subpoenas, regulatory inquiries, and related legal requests.
  • Ensure timely and accurate communication with internal stakeholders, outside counsel, and regulators.

Licensing & Regulatory Filings

  • Maintain and track all corporate entity licenses, registrations, and appointments across jurisdictions.
  • Support the maintenance of individual producer / adjuster licensing as needed for clients.
  • Monitor renewal deadlines, prepare and submit filings, and resolve licensing issues promptly.
  • Manage and execute company projects with licensure impacts to deadlines provided.

    • Compliance Calendar Management

  • Build and maintain a global compliance calendar, tracking key regulatory and legal obligations.
  • Provide regular updates and reminders to stakeholders regarding deadlines and filing requirements.
  • Coordinate with internal teams and external partners to ensure compliance obligations are met on time.

    • Notarial Services

  • Serve as a commissioned notary public for compliance-related documents (TMG will assist with obtaining or transferring commission, if needed).

    • General Compliance Support

  • Assist in developing and maintaining compliance processes, records, and documentation.
  • Provide support during regulatory examinations, audits, and reviews.
  • Support regulatory and corporate filings with visibility to upcoming requirements.
  • Contribute to compliance projects, reporting, and risk assessments as needed.

    • Qualifications :

  • Bachelor’s degree in a related field (or equivalent work experience).
  • 2–4 years of experience in compliance, regulatory affairs, legal operations or other highly detailed industry / environment (insurance or financial services industry preferred).
  • Familiarity with state insurance regulatory requirements and licensing processes strongly preferred.
  • High level of integrity, discretion, and attention to detail.
  • Notary commission (or willingness to obtain with TMG’s support).
  • Proficiency in Microsoft Office functions including Excel, document comparison programs and ability to quickly learn other IT applications.
  • Excellent time management, organizational, and project management skills, demonstrating an ability to work proactively to meet deadlines.
  • Strong analytical and communication skills and the ability to interact comfortably with all levels of the organization including senior management and non-legal departments.
  • Can perform a variety of tasks with a certain degree of autonomy.
  • Demonstrated attention to detail, professional attitude and ability to handle confidential information with discretion.
  • Be a good teammate.

    • Benefits :

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

  • Competitive base salary plus incentive plans for eligible team members
  • 401(K) retirement plan that includes a company match of up to 6% of your eligible salary
  • Free basic life and AD&D, long-term disability and short-term disability insurance
  • Medical, dental and vision plans to meet your unique healthcare needs
  • Wellness incentives
  • Generous time off program that includes personal, holiday and volunteer paid time off
  • Flexible work schedules and hybrid / remote options for eligible positions
  • Educational assistance

    • #TMG

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    Regulatory Compliance Specialist • West Des Moines, IA, US

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