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As a Regulatory Supervisory Analyst, apart of the ISG Sales Operations and Administration Department, will be responsible for monitoring and managing compliance related internal and external electronic communications across the Individual Life Insurance and Annuities businesses. This is accomplished through email review, analysis and proactive consultation with internal partners to identify and provide insight to resolving any compliance discrepancies quickly and proactively.
This position requires a high degree of experience, knowledge, and understanding of applicable regulatory requirements and corporate policies as well as a solid understanding of a regulated financial environment, like the Individual Solutions Group organization. Leveraging the requisite skill-set, independent judgment and critical thinking, the ideal associate must comfortably and professionally initiate discussions and resolutions with Senior-Level Managers and leaders in order to resolve identified issues with confidence and autonomy. In addition, working alongside sales, marketing, compliance, product among other departments, you will be expected to develop and present analysis, interpret data and present appropriate solutions to identified issues and trends. Lastly, you will also be involved with training new FINRA licensed employees on email policies and procedures and will have an opportunity to work on projects to identify process enhancements and improvements related to correspondence practices.
Bachelor's degree or equivalent work experience required
A minimum of 2+ years Financial Services industry experience preferred
FINRA Series 6 or 7 required
FINRA Series 26 or 24 required within 90 days of hire
Proficiency with Excel and performing trending analysis
Ability to exercise a high degree of independence
Interest and ability to perform presentations at the leadership level
Experience working within a Financial Services or highly regulated environment
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