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This position is responsible for performing a wide variety of processing and administrative duties which support one or more of the compliance units within Company Brokerage Services. All duties are performed in compliance with FINRA regulations and guidelines while working under close supervision.
makes use of a variety of different resources and their knowledge is dispersed over a wide range of subjects. They are able to adapt to changing business needs & priorities and are able to thrive in a wide variety of areas, utilizing an assortment of aptitude and skills. A generalist is someone who has very defined duties, still acquiring necessary skills and works under close supervision.
Provide support for compliance tools and systems
Coordinate, organize and maintain compliance manuals, webpages and other compliance logs
Communicate with customers, Advisors and/or Credit Union partners, providing options and taking the necessary action
Conduct research on problems/issues that require in-depth study and analysis
The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time.
High-school diploma (or equivalent)
Strong knowledge of insurance and investment products and their provisions desired
Good problem solving, analytical, and written/verbal communication skills.
Excellent organizational skills and attention to detail
Ability to effectively use computer systems, including Microsoft Office Suite.
Company’s insurance, retirement and investment products provide financial security and protection to credit unions and their members worldwide. As a dynamic and growing company, we strive to create a culture of performance, high standards and defined values. In return for your skills and contributions, we offer highly competitive compensation and benefit packages, significant professional growth, and the opportunity to win and be rewarded.
Please provide your Work Experience and Education or attach a copy of your resume. Applications received without this information may be removed from consideration.
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