Job: Sr. Compliance Associate Manchester NH

Jobing Description

Job Function and Key Duties & Responsibilities THIS POSITION CAN RANGE FROM A GRADE 13, 14 OR 15 BASED ON EXPERIENCE. This position will be based out of the New Hampshire GO. In addition the position will cover the Boston/Maine GOs as well.

- Assist Managing Partner in Agent Supervision.

- Complete Unannounced Annual Reviews.

- Review upcoming 3010 Mail.

- Review outgoing correspondence.

- Conduct Firm Element and Registered Representative Training.

- Maintain Sales Material Review Procedures.

- Train agents on proper file procedures.

- Handle complaints.

- Follow-up and track compliance and supervision operations.

- Handle/maintain registered products sales materials and prospectuses.

- Prepare for General Office Reviews. Job Location NH - Manchester
Department AGENCY DEPARTMENT
Position Type Full Time
AutoReqId 6462BR
Required Qualifications - Bachelors Degree.
- Minimum 2 years of industry experience.
- Comprehensive knowledge of registered and non-registered products.
- Must have Series 7 and 24.
- Preferred Series 51 or 53.
- Series 65, 66 or ChFC (or obtain within 6 months).
- Excellent communication skills (written and verbal).
- Strong analytical skills required.
- Must be a self-starter, result oriented, a team player and be able to prioritize responsibilities.
- Willing to travel up to 50% of the time.