Key skills
AICommunication
About this role
Role Overview
- Assist in conducting Non-Field OSJ Exams and drafting reports with recommendations
- Develop and implement examination protocols for Equitable Advisors' FINRA registered non-field OSJ locations
- Ongoing responsibility to update and maintain multiple metric reports
- Maintaining Equitable Advisors Written Supervisory Procedures
- Conduct Residential Supervisory Location, Supervisory Branch Locations and Non-Branch Location exams
- Up to 15% travel is required
- Assist with RegEd Vendor Relationship Management and Data Analytic Reporting
Requirements
- FINRA Series 7 license or willingness to obtain within 180 days
- Bachelor's degree or equivalent
- 2+ years Compliance experience is preferred
- Knowledge of life, annuity, investment advisory products and FINRA/SEC Rules and Regulations
- Knowledge of brokerage and advisory operations processing is preferred
- Must have strong Excel, Microsoft Office, and Access knowledge
- AI Awareness: a basic understanding of AI concepts for learning how AI tools can be used to drive process efficiency
- Strong analytical, administrative and communication skills
- Knowledge of data gathering and analysis tools, techniques, and processes
- Knowledge of risk and control self-assessment (RCSA)
- Knowledge of securities laws and regulations
Benefits
- Health insurance
- Dental
- Vision
- 401(k) plan
- Paid time off