Job description
Financial Advisory firm in Kennesaw seeking a Compliance Officer with financial industry experience responsible for assisting in the review of advertising and marketing materials created for financial professionals to market themselves or their practices.
Responsibilities:
Responsibilities:
1. Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer and Vice President of Compliance;
2. Review advertising and marketing materials, including but not limited to promotional material, radio, podcast and television review;
3. Play a lead role in building relationships with financial professionals and conduct compliance-training consultations when needed;
4. Research regulations by reviewing insurance and securities rules and regulations;
5. Develop, review, and maintain compliance policies, procedures, and forms;
6. Prepare team analytic reports by collecting, analyzing, and summarizing information;
7. Contribute to the team effort by accomplishing related results and goals as required.
Experience:
- Minimum of two years of financial services industry experience;
2.
Insurance licensing required within 90 days. Series 7, 24, 65 or 66 a plus, but not required.
- Bachelor’s degree or equivalent combination of education and work experience;
- Strong computer skills for managing data, report creation, developing presentations, etc.; and
5. Time management and the ability to handle multiple tasks in a fast-paced environment;
- Detail oriented, focused on quality in all aspects of your work;
- Thorough knowledge of life insurance and annuity products;
- Strong problem-solving and researching skills;
- Critical-thinking skills with the ability to use logic and reasoning to identify strengths and weaknesses of alternative solutions, conclusions, or approaches;
- Sound business judgment and strong decision-making ability;
- Ability to respond effectively and timely to teammates and agents;
- Exceptional relationship-building skills and ability to effectively work with other departments within the firm; and
- Excellent communication and public presentation skills.
Teammate Benefits Available:
- Positive and upbeat work environment
- 20 Days Paid Time Off
- Medical Insurance
- Dental Insurance
- Life Insurance
- Vision Insurance
- 401k and 401k Employer Match
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