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World Insurance Associates LLC · 2 days ago

Compliance Specialist

United States

Full-time

Remote

Entry, Mid Level

$75K/yr - $90K/yr

2+ years exp

World Insurance Associates LLC is a nationally recognized financial services firm dedicated to providing premier wealth management and retirement plan investment advisory services. The Compliance Specialist will support the firm’s Compliance Program by developing reporting systems, monitoring inquiries, and providing guidance on compliance-related matters.

AdviceCommercial InsuranceEmployee BenefitsFinancial ServicesHealth InsuranceHuman ResourcesInsuranceLife Insurance

Responsibilities

Develop and manage a Compliance Department activity reporting system

Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments

Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received

Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries

Assist management and other compliance personnel with the completion of various projects and testing

Other duties as assigned

Qualification

Compliance experienceRegulatory knowledgeSeries 765 licensesBrokerage knowledgeInvestment advisory knowledgeCommunication skillsTime managementTeam playerSelf-starter

Required

Bachelor's degree (B.A./B.S.) in a related discipline required

Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments

Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire)

Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate

A deep understanding of industry rules governing supervision, suitability, and registrations

Excellent technology and communication skills

Ability to work independently to manage time and prioritize tasks efficiently

Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance

The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes

Preferred

Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02

Already hold a Life, Health, & Variable Annuity license

Benefits

401(k) with Employer Match

Health Insurance (with HSA option)

Dental Insurance

Vision Insurance

Life Insurance

Flexible Paid Time Off Policy

Flexible Spending Account (FSA)

Healthy Work/Life Balance

Maternity/Paternity Leave Policy

Remote Work Opportunity

Company

World Insurance Associates LLC

World is a leading financial services organization that uses its vast resources and industry expertise to empower people to make informed decisions to improve their risk management and financial outcomes.

Founded in 2012

Monmouth Beach, New Jersey, USA

1001-5000 employees