Sr. Compliance Associate Manchester NH
New York Life Insurance Company - Manchester, NH
This job is no longer active. View similar jobsJob Summary
- Company
- New York Life Insuran... New York Life Insurance Company
- Location
Manchester, NH, US
- Job Type
- Regular
- Job Classification
- Full Time
- Experience
- not provided
- Education
- not provided
- Company Ref #
- 6462BR6462BR
- AJE Ref #
- 555585439
- [+] More
Job Description
THIS POSITION CAN RANGE FROM A GRADE 13, 14 OR 15 BASED ON EXPERIENCE. This position will be based out of the New Hampshire GO. In addition the position will cover the Boston/Maine GOs as well.
- Assist Managing Partner in Agent Supervision.
- Complete Unannounced Annual Reviews.
- Review upcoming 3010 Mail.
- Review outgoing correspondence.
- Conduct Firm Element and Registered Representative Training.
- Maintain Sales Material Review Procedures.
- Train agents on proper file procedures.
- Handle complaints.
- Follow-up and track compliance and supervision operations.
- Handle/maintain registered products sales materials and prospectuses.
- Prepare for General Office Reviews.
- Bachelors Degree.
- Minimum 2 years of industry experience.
- Comprehensive knowledge of registered and non-registered products.
- Must have Series 7 and 24.
- Preferred Series 51 or 53.
- Series 65, 66 or ChFC (or obtain within 6 months).
- Excellent communication skills (written and verbal).
- Strong analytical skills required.
- Must be a self-starter, result oriented, a team player and be able to prioritize responsibilities.
- Willing to travel up to 50% of the time.
