Job description

Compliance Officer

Overview

The firm is looking for a FINRA registered Securities principal (series 24) to serve as an Agency Supervisory Officer (ASO) and be responsible for completing a wide variety of Broker Dealer and RIA compliance and supervisory tasks with respect to the agency’s securities and advisory business through MML Investors Services, LLC (“MMLIS”) as well as its insurance business with Massachusetts Mutual Life Insurance Company (“MassMutual”) (together, the “Company”). Some travel required -- including occasional overnight trips. This position reports directly to the Director of Compliance/Chief Compliance Officer.

Responsibilities

Overall Standards

The ASO is responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the Broker Dealer, Registered Investment Advisor as well as the Insurance Agency and to enforce the firms Compliance policies and procedures.

The ASO is responsible for completing assigned tasks in a timely, professional, and accurate manner and shall keep the Director of Compliance informed of all pertinent developments pertaining to the agency’s operations and as directed, prepare regular, written reports.

Activities performed by the Agency Supervisory Officer include, but are not limited to, the following:

• Conduct Branch Inspections of Registered Offices and Other Detached Locations
• Conduct Personal Interviews with advisors and registered staff
• Respond to Questions from Producers, Agency Management and Associates Regarding Compliance Issues and Company Policies
• Serve as the Primary Liaison for the Agency with Regulators and Home Office Compliance Personnel
• Assist Regulators During Examinations and Report the Status of Such Examination to Home Office Compliance Personnel
• Conduct reviews to ensure Reg BI Compliance
• Review Exception Reports to ensure Broker Dealer and RIA compliance
• Review and approve/decline requests by Registered Representatives to Invest in Private Securities Transactions and Outside Business Activities
• Conduct email and social media reviews
• Partner with agency management to develop and maintain corrective action plans
• Review outgoing/incoming correspondence for compliance
• Ensure client files are compliance with FINRA and SEC Rules
• Coordinate and Document the Implementation of the Firm Element Continuing Education Program.
• Coordinate and/or Present at the Annual Compliance Meeting
• Conduct and Document Additional Advisor Training
• Conduct 3rd Party verification Phone Calls for checks and wires
• Supports the Operations division in a Supervisory Capacity.
• Promptly notify and advise the Home Office Compliance team of any potential or threatened Customer Complaints, Demands and Legal Actions Received by Producers or Associates
• Capacity to handle a fast-paced environment and maintain attention to detail
• Ability to work independently as well as in a team environment
• Displays professionalism and confidentiality
• Commits to Firm initiatives and overall vision of the firm

Qualifications (Skills, Education, Training and Registrations)

Required

• Series 7 and 24 required; Series 53 preferred.
• BA/ BS Degree (JD or CPA a Plus)
• Minimum 4-6 years of related work experience, with 3-4 years in the insurance or financial services industry
• Thorough understanding of compliance requirements, suitability, and security transactions for the financial services industry
• Competencies: computer skills, analytical, uses sound business judgment, interpersonal skills, and influence skills

Job Type: Full-time

Pay: $80,000.00 - $100,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• Monday to Friday

Experience:

• securities or life insurance industry (compliance area): 4 years (Preferred)

License/Certification:

• Series 53 (Preferred)
• Series 7 (Required)
• Series 24 (Required)

Work Location: In person

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