Compliance Officer

at  Integrity Marketing Group

JOB REQUIREMENTS:

• Bachelor’s Degree; Juris Doctor a plus.
• FINRA Series 7 registration is currently active.
• Must obtain Series 14 or 24 and 63 within 6 months of hire.
• Life and Annuity Insurance license is preferred.
• Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
• 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.
• Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.

PRINCIPAL DUTIES AND RESPONSIBILITIES:

• Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm’s type of business and its written policies and procedures.
• Update applicable written policies and procedures for consistency with new regulations or activities.
• Maintain and update the firm’s monitoring, testing and surveillance program.
• Testing and reviewing the firm’s electronic communications for any misleading information or suspicious activity.
• Review and approve 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.