Series 6/26 Licensed Compliance Specialist

Job Summary

A company is looking for a Compliance Specialist to support advisors and clients in reviewing annuity applications.

Key Responsibilities

• Review new and existing annuity applications to ensure compliance with regulatory requirements
• Support the annuity supervision phone queue and provide consultation to field advisors
• Respond to inquiries and questions from the field regarding compliance issues

Required Qualifications

• Bachelor's degree
• 2-3 years of experience in the financial industry
• Series 6/26 or Series 7/24 registrations required
• Ability to work independently and take ownership of tasks
• Willingness to learn and adapt in a fast-paced environment