Job Summary

A life insurance Company is in need of a Remote Regulatory Operations Consultant.

Core Responsibilities Include:

• Performing trade surveillance and monitoring activities while documenting risks and policy violations
• Partnering with Compliance, Field and Home Office business partners on regulatory matters
• monitoring and communicating surveillance or sales practice trends to relevant business partners

Qualifications Include:

• Bachelor’s degree
• Series 7 and 24
• 3+ years’ related Broker dealer experience with high business acumen
• Knowledge of trade review systems, computer skills, and analytical competency
• Strong Microsoft office skills including Outlook, Excel, PowerPoint and Word.