пятница, 14 сентября 2012 г.

Sr Compliance Consultant

 As a Senior Agency Compliance Consultant you will ensures agency compliance responsibilities and related supervisory requirements are maintained.  Ensures agency activities and materials comply with all company compliance and related policies and procedures and all relevant FINRA, SEC, and State rules, laws, and regulations.

Functional Responsibilities:
  • Ensures agency activities and materials comply with company policy and state and federal insurance department regulations. 
  • Serves as back-up principal to the Manager Agency Compliance and/or the Managing Director. 
  • Conducts suitability review of the daily purchase, sales blotters, and exception reports within required timeframes. 
  • Collects, maintains, and organizes Office of Supervisory Jurisdiction records. 
  • Reviews transactions to ensure timely submission, good order and prompt processing. 
  • Assists with the development and implementation of consistent supervisory related training. 
  • Partners with Agency Management to develop and maintain corrective action plans in response to compliance, audit or agency findings. 
  • Manages the COMS process. 
  • Monitors replacement activities and producer licensing and continuing education requirements. 
  • Conducts client file reviews and monitors incoming and outgoing sales material correspondence.  Establish and maintain FINRA books and records for the agency. 
  • Manages U-4 amendments. 
  • Assists Manager with supervising detached locations and registered brokers. 
  • Updates written procedures and compliance delegations. 
  • Performs other duties as assigned or required.
 Typical Experience:
  • Bachelors degree in a related field.
  • 5-7 years of related work experience, with 3-4 years in the insurance or financial services industry. 
  • FINRA Series 7, 24 (Series 9 &10 may substitute for series 24)
  • Strong written and oral communication
  • Microsoft Office
  • Must be able to travel
 Supervisory Responsibilities: None.

hud jobs
Country: USA, State: Massachusetts, City: Westborough, Company: MetLife.

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