KNOWLEDGE, SKILLS AND ABILITIES

• Ability to understand regulations applicable to Jackson, including state and federal regulations.
• Knowledge of insurance and/or financial industry regulations.
• Detail oriented, organized, thorough and persistent.
• Ability to prioritize and meet deadlines.
• Effective written and verbal communication skills.
• Ability to establish and maintain effective working relationships with superiors and colleagues.
• Ability to work independently and with limited supervision.
• Ability to multi-task and be flexible.
• Working knowledge of Microsoft Office tools (Word, Access, Outlook, Excel).
• Ability to work effectively in a team environment.

ESSENTIAL RESPONSIBILITIES

• Performs reviews to ensure compliance with relevant financial industry regulations.
• Gathers information and research and prepares responses to inquiries from internal stakeholders about regulatory requirements.
• Prepares and submits regulatory filings, under the direction of superiors.
• Remains current on relevant regulatory matters.
• Participates in processes and projects as requested by management.
• Executes policies, procedures, and controls to assist in the oversight of the firm’s product sales across all business channels.
• Reviews and processes documentation related to outside business activities, outside brokerage accounts, and non-brokerage transactions; filing with regulators as required.
• Executes registration and licensing related activities, including the completion of U4s and U5s, scheduling exams, and appropriately provisioning associated persons.
• Performs surveillance of electronic communications for registered associates and escalates concerns for resolution.
• Conducts ongoing reviews and risk assessments.
• Conducts periodic inspections of OSJ (Office of Supervisory Jurisdiction) branch and non-branch locations.
• Assists management in the drafting of Compliance Bulletins, procedures, and trainings.
• Travels up to 15 days per year.

OTHER DUTIES

• Performs ad-hoc compliance research and reporting as needed.
• Performs other duties and/or projects as assigned.