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.
- 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
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Country: USA, State: Massachusetts, City: Westborough, Company: MetLife.
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