Senior Compliance Consultant

Job Summary

A company is looking for a Senior Compliance Consultant who will assist with compliance management and oversight for a wholesale broker-dealer.

Key Responsibilities

• Process state registrations and insurance licenses, tracking continuing education requirements
• Conduct reviews of annuity and life insurance marketing materials for compliance with regulations
• Manage compliance inquiries and assist with ad hoc projects and initiatives

Required Qualifications

• Bachelor's degree
• FINRA Series 6 & 26 preferred, required within 6 months of hire
• Minimum 3+ years of financial services experience
• Knowledge of insurance laws, SEC regulations, and FINRA rules related to life and annuity business
• High degree of professional ethics and integrity