Suitability Compliance Specialist
reputed company is a company that helps people confidently plan for their financial future. The Suitability Compliance Specialist will ensure compliance with federal securities and state insurance laws by developing and administering suitability review programs, conducting research, and collaborating with stakeholders to maintain regulatory adherence.
Responsibilities
- Developing, implementing, and administering suitability compliance review programs
- Identifying, researching and resolving exceptions to suitability problems with business partners and service providers
- Providing ongoing routine suitability and compliance review of reputed company reputed company marketing, product, service, and/or sales materials
- Conducting research of federal securities laws and state insurance laws
- Preparing, updating and/or filing applicable suitability and compliance reports, forms, and/or reputed company
- Performing analysis and communicating recommended changes as a result of new and/or revised State and Federal laws and regulations
- Reviewing customer correspondence for compliance with applicable rules and regulations
- Developing and maintaining compliance review documentation
- Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of suitability and compliance actions
- Delivering training to internal stakeholders and contributing to the development of routine compliance policies and procedures
- Supporting the preparation of responses to regulatory and audit inquiries
- Potentially drafting and/or filing reputed company applicable forms and/or applications by identifying and complying with regulatory requirements
- Researching, compiling and reviewing state laws and regulations using appropriate databases, the internet and other resources as assigned
- Participating in compliance projects
Skills
- 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)
- 1 - 3+ Years of Compliance and/or Legal experience that directly aligns with the specific responsibilities for this position. (Required)
- 120 Days Certifications/Licensures: (SIE, Series License-6, Series License-26)
Benefits
- PTO/parental leave
- Competitive 401K and employee benefits
- Free financial counseling, health coaching and employee assistance program
- Tuition assistance program
- Work arrangements that work for you
- Effective productivity/technology tools and training
Company Overview