Compliance Analyst
Horizontal Talent

Job Info

This position's primary responsibility will be to administer the agent disciplinary action process, which involves the review and evaluation of disciplinary action recommendations and supporting documentation, seeking and receiving relevant recommendations from appropriate parties, following up to ensure the timely closure of actions, and producing various management reports both to ensure timely and accurate closure and to note trends that may exist that require additional attention.

This position is also responsible for monitoring email communications of agents who are subject to the Company's Enhanced Supervision program. This includes periodic review of outgoing and incoming (where appropriate) emails of the agents and their assistants, escalate items of concern, communicate findings, and ensure appropriate and timely handling of the findings as well as documentation. This role is also responsible for ensuring that the branch offices are executing their Agent Enhanced Supervision programs, completing their supporting documents accurately and submitting them to the Home Office Agency Standards in a timely fashion. This position may also support multiple other functions within Agency Standards, including Ethics Point complaint handling and agent Enhanced Underwriting.

Requirements:
Strong analytical and investigative skills.
Excellent verbal and written communication skills.
Excellent organizational skills. Ability to manage multiple work items, work independently and follow through to completion.
Strong work ethic and attention to detail.
Proficient with Microsoft Word and Excel.

Preferred but not required:
Series 6 or 7 or other insurance designations

Other Preferred Qualifications:
Prior experience in the insurance/securities industry, preferably in compliance or operations.
Knowledge of Insurance and Securities Products including Life Insurance, Fixed and Variable Annuities, and Mutual Funds.
Requires a bachelor's degree in business or related field and 1-4 years of relevant experience.