Compliance Analyst III
6 days ago
Long term contract
Location: Newport Beach, CA Hybrid; 4 days onsite
experience you bring:
• 4-year degree
• 5 years experience in compliance field.
• Excellent written and verbal communication, along with a professional and collaborative demeanor.
• Leadership abilities, including interpersonal savvy, courage, decision quality, driving engagement and resourcefulness.
• Proficient computer skills, including Microsoft Office products, SharePoint, MS Teams.
• Familiarity with agile methodology, including the ability to thrive in an agile environment and quickly adapt to changes in business needs.
• Use best practices and knowledge of internal or external business issues to improve products or services.
• Ability to solve complex problems and develop new perspectives using existing solutions.
• Comfortable working both independently with minimal supervision and open to collaborating with team and other Office of the General Counsel teams when necessary.
What makes you stand out:
• Series 6 and 26 FINRA licenses (will be required for the role).
• Strong knowledge of state regulatory requirements pertaining to sales and marketing.
• 5+ years Life Insurance and/or annuity related and/or compliance experience preferred.
• In-depth knowledge and experience tied to financial services and insurance industries.
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