Senior Compliance Associate Senior Compliance Associate …

Selby Jennings Buyside
à Indianapolis, IN, États-Unis
CDI, Plein-temps
Dernière candidature, 03 août 20
Negotiable
Selby Jennings Buyside
à Indianapolis, IN, États-Unis
CDI, Plein-temps
Dernière candidature, 03 août 20
Negotiable
Selby Jennings Buyside
A large insurance company is seeking a senior compliance professional to join their growing team in Indianapolis. The position will work with oversight of their wholesale broker-dealer and deal with annuities and life insurance.

A large insurance company is seeking a senior compliance professional to join their growing team in Indianapolis. The position will work with oversight of their wholesale broker-dealer and deal with annuities and life insurance. The role will work with senior management, operations, legal, product, and handle a variety of projects.

The position will work with state registrations and insurance licenses for employees and will assist with reporting, courses, exams, or any educational requirements. The position will also deal with gifts and entertainment, 407 letters, and non-cash compensation reporting. Responsibilities will also include marketing and electronic communication review, compliance testing, and controls.

Requirements:

  • Bachelor's Degree and 3+ years relevant experience
  • Series 6 and 26 preferred
  • Understanding of applicable regulatory laws and requirements for the insurance business from SEC and FINRA etc.
  • Strong organizational and communication skills
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