This position works directly with branch Financial Advising teams, firm leadership, departments and regulators to help perform the supervision and compliance functions as mandated by various financial regulatory entities.

Licensing/Regulatory/Educational Requirements:

  • Series 7 and 66 (or equivalent) required
  • Series 9/10 and/or 24 and 53 required within 90 days of start date
  • Life and Health insurance licenses within 90 days of start date
  • Bachelor’s Degree or equivalent work experience
  • 2 years minimum industry experience

Skills:

  • Strong written and verbal communication skills
  • Knowledge of regulatory environment beneficial
  • Ability to make sound decisions
  • Aptitude to work autonomously and as part of a team
  • Ability to communicate at all levels of the organization
  • Proficient using computers and Microsoft programs such as Outlook, Excel, Word, etc.
  • Preferred experience using financial software tools (Docupace, Salesforce, MoneyGuide Pro)

Duties:

  • Communication review to include email and incoming/outgoing correspondence
  • Advertising and marketing materials review
  • Follow up with Financial Advisors and support team on review findings
  • Escalation of reviewed material as needed
  • Data gathering for response to regulatory inquiries as needed
  • Create, review, implement firm Written Supervisory Policies and Procedures
  • Periodic testing of firm policies and procedures
  • Analyze, execute and test processes and procedures
  • Research Complaints and audit requests for regulatory or audit inquiries
  • Effectively communicate with management and firm executives of research and review findings
For consideration, please forward your cover letter and resume outlining your experiences and licenses to: [email protected]