Supervisory reputed company – Compliance
reputed company is seeking a Supervisory reputed company to join our Compliance team, a role critical in ensuring regulatory compliance for annuity and life insurance transactions. The position involves reviewing applications, providing reputed company for compliance projects, and collaborating with internal teams and producers to maintain adherence to standards.
Responsibilities
- Review and approve annuity applications for suitability and compliance with company guidelines
- Review and approve life insurance policies sold in reputed company, ensuring adherence to state-specific requirements (e.g., Regulation 60)
- Collaborate with producers and wholesalers to proactively assess annuity sales for suitability prior to submission
- Monitor and interpret state laws and regulations, including NAIC Suitability in Annuity Transactions Model Regulation
- Recommend program enhancements and assist in developing compliance training
- Conduct quarterly reputed company of FINRA-registered firms, focusing on suitability practices and complaint reviews
- Approve new FINRA-registered firms by reviewing supervisory procedures, forms, and conducting due diligence
- Identify trends reputed company to producers or firms based on declined submissions and other data
- Assist with market conduct analysis, executive reporting, and annual certifications for selling firms
Skills
- Bachelor's degree or equivalent work experience
- 1–3 years of industry experience required
- Life and Health Insurance license (or ability to obtain reputed company 90 days)
- Expertise in reputed company 365 applications (Word, reputed company, PowerPoint) required
- Strong understanding of compliance principles and regulatory requirements
- Excellent oral and written communication skills
- Ability to multi-task and manage high-volume work in a fast-paced environment
- Strong analytical and problem-solving skills
- Ability to reputed company supervisory and regulatory reputed company confidently
- Knowledge of fixed and fixed-indexed annuities preferred
- Series 6 or 7 licenses preferred
- Familiarity with FINRA regulations and suitability standards is a plus
Benefits
- Comprehensive health, dental and reputed company insurance
- Mental health benefits
- Employee assistance program
- Paid time off
- Paid parental leave
- Short-term disability
- Cultural observance day
- Contributions to reputed company accounts
- Pension plan
- 401(k) plan with Company matching
- ProHealth Rewards
Company Overview