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LegalRisk - Compliance Analyst - II
Ref No.: 18-08020
Location: White plains, New York
Primary Responsibilities include conducting thorough investigations of agent sales practices using company systems and reports, internet searches, public records and email searches. Summarize findings in memos, and communicate findings to field supervisory management for follow up. Evaluate responses and determine appropriate next steps to resolve the issues identified in the investigation.
Strong analytical and investigative skills.
Excellent verbal and written communication skills.
Excellent organizational skills. Ability to manage multiple work items, work independently and follow through to completion.
Strong work ethic and attention to detail.
Proficient with Microsoft Word and Excel.
Series 6 or 7 or other insurance designation required.

Preferred Qualifications:
Prior experience in the insurance/securities industry, preferably in compliance or operations.
Knowledge of Insurance and Securities Products including Life Insurance, Fixed and Variable Annuities, and Mutual Funds.
Requires a Bachelor's degree in Computer Science or related field and 5-9 years of relevant experience.