Compliance Officer
Annexus Compliance Officer, working under the direction of the Chief Compliance Officer, you will be responsible for compliance analysis, programs, initiatives, and policies and procedures for all product lines offered to meet business objectives and profitability goals.
Principal Duties and
Responsibilities:
Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm's type of business and its written policies and procedures.
Update applicable written policies and procedures for consistency with new regulations or activities.
Maintain and update the firm's monitoring, testing and surveillance program.
Testing and reviewing the firm's electronic communications for any misleading information or suspicious activity.
Review and approve Sales Material and Advertising.
Assist with monitoring, filing and amending the firm's and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
Assist in development and implementation of the firm's continuing education plan to complete compliance training for the firm.
Job Requirements:
Bachelor's Degree; Juris Doctor a plus.
FINRA Series 7 registration is currently active.
Must obtain Series 14 or 24 and 63 within 6 months of hire.
Life and Annuity Insurance license is preferred.
Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
Excellent project management and process improvement skills.
Strong communication, presentation, and analytical skills.
Ability to influence change.
Organized with the ability to handle multiple tasks and multiple priorities simultaneously.
Ability to work independently and communicate results.
Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.
About IntegrityIntegrity is one of the nation's leading independent distributors of life, health and wealth insurance products.
With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike.
Integrity is driven by a singular purpose:
to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge.
Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back.
We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily.
Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career.
Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are -- in person, over the phone or online.
Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide.
For more information, visit Integrity.
com.
Integrity, LLC is an Equal Opportunity employer.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.
In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
PandoLogic.
Category:
Marketing & Biz Dev, Keywords:
Compliance Manager, Location:
Scottsdale, AZ-85258 Recommended Skills Adobe Acrobat Analytical Annuities Business Planning Business Process Improvement Filing Apply to this job.
Think you're the perfect candidate? Apply on company site Estimated Salary: $20 to $28 per hour based on qualifications.
Principal Duties and
Responsibilities:
Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm's type of business and its written policies and procedures.
Update applicable written policies and procedures for consistency with new regulations or activities.
Maintain and update the firm's monitoring, testing and surveillance program.
Testing and reviewing the firm's electronic communications for any misleading information or suspicious activity.
Review and approve Sales Material and Advertising.
Assist with monitoring, filing and amending the firm's and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
Assist in development and implementation of the firm's continuing education plan to complete compliance training for the firm.
Job Requirements:
Bachelor's Degree; Juris Doctor a plus.
FINRA Series 7 registration is currently active.
Must obtain Series 14 or 24 and 63 within 6 months of hire.
Life and Annuity Insurance license is preferred.
Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
Excellent project management and process improvement skills.
Strong communication, presentation, and analytical skills.
Ability to influence change.
Organized with the ability to handle multiple tasks and multiple priorities simultaneously.
Ability to work independently and communicate results.
Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.
About IntegrityIntegrity is one of the nation's leading independent distributors of life, health and wealth insurance products.
With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike.
Integrity is driven by a singular purpose:
to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge.
Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back.
We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily.
Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career.
Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are -- in person, over the phone or online.
Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide.
For more information, visit Integrity.
com.
Integrity, LLC is an Equal Opportunity employer.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.
In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
PandoLogic.
Category:
Marketing & Biz Dev, Keywords:
Compliance Manager, Location:
Scottsdale, AZ-85258 Recommended Skills Adobe Acrobat Analytical Annuities Business Planning Business Process Improvement Filing Apply to this job.
Think you're the perfect candidate? Apply on company site Estimated Salary: $20 to $28 per hour based on qualifications.
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