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Compliance Associate

2 months ago

Scottsdale AZ United States Annexus Securities Full time

Annexus Compliance Associate, working under the direction of the Chief Compliance Officer, you will support the Compliance Program by assisting in compliance analysis, programs, initiatives, and policies and procedures for all product lines offered in order to meet business objectives and profitability goals.

Principal Duties and Responsibilities:
  • Provide administrative support for the firm’s Compliance Team as directed.
  • Assist in with the firm’s monitoring, testing and surveillance program.
  • Assist with ongoing internal testing to ensure effectiveness and identify areas to improve the firm’s relevant policies and procedures.
  • Coordinate ongoing related policy and procedure updates with the Compliance team and other stakeholders.
  • Assist in testing and reviewing the firm’s electronic communications for any misleading information or suspicious activity.
  • Support the firm in the review and approval of Sales Material and Advertising.
  • Assist with monitoring, filing and amending the firm’s and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
  • Assist in development and implementation of the firm’s continuing education plan to complete compliance training for the firm.

Job Requirements:

  • Bachelor’s Degree
  • FINRA Series 6, 7, or 14 registration is a plus.
  • Insurance license is preferred.
  • Minimum 1 year of compliance related .
  • Excellent time management, organization and prioritization skills. Ability to work as a part of a team or individually with limited supervision is highly essential.
  • Strong communication, presentation, and analytical skills.
  • Ability to influence change.
  • Ability to adapt quickly to a variety of industries and businesses.
  • Proficient to advanced skills with MS Office (Excel, PowerPoint, Word, Outlook).

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

PandoLogic. Category:Marketing & Biz Dev, Keywords:Regulatory Compliance Specialist, Location:Scottsdale, AZ-85258