Apply for this job now

Compliance Consultant

Zionsville, Indiana
Job Type
21 Sep 2022
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 Companys success.Main Accountabilities:Process state registrations and insurance licenses and track continuing education requirementsConduct 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 policiesProcess FINRA registrations/deregistrations, and insurance licenses and appointmentsFacilitate courses and exams for securities registrations and insurance licensureCoordinate reporting for licensing activityTrack & Monitor Annual, Quarterly and Monthly Firm Element and Compliance RequirementsAssists with the management of compliance email box and respond to questions appropriatelyAggregate data for monthly, quarterly supervisory reportsPrepare 407 Letters in response to employee requests when opening accounts at another financial institutionReview and log gifts, entertainment and non-cash compensation activity and publish periodic reportsParticipate in compliance program testing, which includes transactional and periodic testing of supervisory controlsRespond to questions from business unit personnel and wholesalers regarding compliance policies and proceduresAssist with ad hoc projects and various initiativesQualifications:Bachelors degreeFINRA Series 6 & 26 preferred - required to obtain within 6 months of hireMinimum 1-3 years of financial services experienceKnowledge and understanding of insurance laws, SEC regulations, FINRA rules and other requirements related to the life and annuity businessSound judgment and ability to analyze complex situationsStrong work ethic, team playerHigh degree of professional ethics and integrityExcellent organizational skills and attention to detailEffective communication skills, both verbal and writtenCommitment to customer service and quality
Apply for this job now


  • Job Reference: 717278523-2
  • Date Posted: 21 September 2022
  • Recruiter:
  • Location: Zionsville, Indiana
  • Salary: On Application
  • Job Type: Permanent