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Compliance Consultant

Location: Zionsville
Posted on: June 25, 2022

Job Description:

Job Summary:

The Compliance Department is currently seeking a Compliance Consultant for our Waltham, MA or Zionsville, IN location (possible hybrid work schedule for local candidates). The Compliance Consultant will be primarily responsible for assisting with the compliance management and oversight of our wholesale broker-dealer, Clarendon Insurance Agency, Inc. Additional responsibilities will include supporting general compliance functions relating to the annuity and life insurance business lines. This role will interact with senior management, distribution, product and operations on a variety of projects and issues critical to the Company's success.

Main Accountabilities:

Process state registrations and insurance licenses and track continuing education requirements
Conduct review of annuity and life insurance sales material and advertising (variable and fixed), including social media posts, blogs, videos and podcasts, and review and monitor electronic communications for compliance with FINRA regulations and policies
Process FINRA registrations/deregistrations, and insurance licenses and appointments
Facilitate courses and exams for securities registrations and insurance licensure
Coordinate reporting for licensing activity
Track & Monitor Annual, Quarterly and Monthly Firm Element and Compliance Requirements
Assists with the management of compliance email box and respond to questions appropriately
Aggregate data for monthly, quarterly supervisory reports
Prepare 407 Letters in response to employee requests when opening accounts at another financial institution
Review and log gifts, entertainment and non-cash compensation activity and publish periodic reports
Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
Respond to questions from business unit personnel and wholesalers regarding compliance policies and procedures
Assist with ad hoc projects and various initiatives

Bachelor's degree
FINRA Series 6 & 26 preferred - required to obtain within 6 months of hire
Minimum 1-3 years of financial services experience
Knowledge and understanding of insurance laws, SEC regulations, FINRA rules and other requirements related to the life and annuity business
Sound judgment and ability to analyze complex situations
Strong work ethic, team player
High degree of professional ethics and integrity
Excellent organizational skills and attention to detail
Effective communication skills, both verbal and written
Commitment to customer service and quality

Keywords:, Fishers , Compliance Consultant, Professions , Zionsville, Indiana

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