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Compliance Officer

2 months ago

Scottsdale, Arizona, United States Annexus Securities Full time
Annexus Securities Compliance Officer Job Description

Job Summary:

We are seeking a highly skilled Compliance Officer to join our team at Annexus Securities. As a Compliance Officer, you will play a critical role in ensuring that our company remains compliant with all relevant regulations and laws.

Key Responsibilities:

  • Regulatory Analysis: Stay up-to-date on federal, state, and SRO regulations and evaluate their potential impact on our business operations.
  • Policies and Procedures: Update and maintain our written policies and procedures to ensure consistency with new regulations and industry best practices.
  • Monitoring and Testing: Develop and implement a monitoring and testing program to ensure compliance with regulatory requirements.
  • Electronic Communications: Review and approve electronic communications to ensure they do not contain misleading information or suspicious activity.
  • Sales Material and Advertising: Review and approve sales material and advertising to ensure compliance with regulatory requirements.
  • Registration and Licensing: Assist with monitoring, filing, and amending our company's and registered persons' FINRA registrations, state insurance licensing, and continuing education requirements.
  • Continuing Education: Assist in developing and implementing a continuing education plan to ensure compliance training for our employees.

Requirements:

  • Education: Bachelor's Degree; Juris Doctor a plus.
  • Registration: FINRA Series 7 registration is currently active.
  • Professional Development: Must obtain Series 14 or 24 and 63 within 6 months of hire.
  • Industry Experience: Minimum 3-5 years of strong front-line experience in securities, fixed indexed, and variable annuities, and life insurance compliance.
  • Skills: Excellent project management and process improvement skills, strong communication, presentation, and analytical skills, ability to influence change, organized with the ability to handle multiple tasks and multiple priorities simultaneously, ability to work independently and communicate results.
  • Technical Skills: Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.

About Annexus Securities:

Annexus Securities is a leading independent distributor of life, health, and wealth insurance products. We are committed to helping our clients protect their life, health, and wealth so they can prepare for the good days ahead.

We offer a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. We are an Equal Opportunity employer and welcome applications from qualified candidates.