Compliance Officer
Job Description
- Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer and Vice President of Compliance;
- Review advertising and marketing materials, including but not limited to promotional material, radio, podcast and television review;
- Play a lead role in building relationships with financial professionals and conduct compliance-training consultations when needed;
- Research regulations by reviewing insurance and securities rules and regulations;
- Develop, review, and maintain compliance policies, procedures, and forms;
- Prepare team analytic reports by collecting, analyzing, and summarizing information;
- Contribute to the team effort by accomplishing related results and goals as required.
EXPERIENCE
- Minimum of two years of financial services industry experience;
- Insurance licensing required within 90 days. Series 7, 24, 65 or 66 a plus, but not required.
- Bachelor’s degree or equivalent combination of education and work experience;
- Strong computer skills for managing data, report creation, developing presentations, etc.; and
- Time management and the ability to handle multiple tasks in a fast-paced environment;
- Detail oriented, focused on quality in all aspects of your work;
- Thorough knowledge of life insurance and annuity products;
- Strong problem-solving and researching skills;
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