This position works directly with branch Financial Advising teams and regulators to help perform the supervision functions which is part of the firm’s overall compliance responsibility.

Licensing/Regulatory/Educational Requirements:

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


  • Strong written and verbal communication skills
  • Knowledge of regulatory environment beneficial
  • Ability to make sound and supported 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)


  • 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
  • New business review including variable annuities, variable universal life insurance and 529 plans

Salary (to be awarded upon experience):

  • $40,000 – $60,000 a year plus benefits
For consideration, please forward your cover letter and resume outlining your experiences and licenses to: [email protected]