Job Description

  1. Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer and Vice President of Compliance;
  2. Review advertising and marketing materials, including but not limited to promotional material, radio, podcast and television review;
  3. Play a lead role in building relationships with financial professionals and conduct compliance-training consultations when needed;
  4. Research regulations by reviewing insurance and securities rules and regulations;
  5. Develop, review, and maintain compliance policies, procedures, and forms;
  6. Prepare team analytic reports by collecting, analyzing, and summarizing information;
  7. Contribute to the team effort by accomplishing related results and goals as required.


  1. Minimum of two years of financial services industry experience;
  2. Insurance licensing required within 90 days. Series 7, 24, 65 or 66 a plus, but not required.
  3. Bachelor’s degree or equivalent combination of education and work experience;
  4. Strong computer skills for managing data, report creation, developing presentations, etc.; and
  5. Time management and the ability to handle multiple tasks in a fast-paced environment;
  6. Detail oriented, focused on quality in all aspects of your work;
  7. Thorough knowledge of life insurance and annuity products;
  8. Strong problem-solving and researching skills;

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Kennesaw GA
Date Posted