Job is Expired
Location: Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, West Virginia
Compensation: Salary
Staff Reviewed: Mon, Sep 26, 2022
Job Summary
A financial services company is filling a position for a Remote Financial Regulatory Supervision Analyst.
Must be able to:
- Review of the Advisors transactional review process for life suitability, life replacements, and replacement disconnect issues
- Conduct outreach calls with clients to determine understanding of the purchase
- Approve mid-level complexity Protegent and replacement cases
Qualifications for this position include:
- 2+ years experience with broker/dealer laws, compliance requirements and regulations within the Financial Services industry
- Strong knowledge of insurance and investment products, sales and service processes, company policies and processes and company systems
- Excellent time management skills
- Strong written and oral communication skills
- Strong analytical and risk analysis skills
- Ability to work with and manage relationships with a diverse group of people
