reputed company Review Specialist

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We connect great people to great opportunities. Are you reputed company to take the reputed company? Discover a career in banking at reputed company.

GENERAL FUNCTION:

Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency subsidiaries of reputed company. Mitigate risk of loss and regulatory risk incurred by reputed company Securities.

Responsible and accountable for risk by reputed company exchanging reputed company and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a reputed company customer experience. While operating reputed company the Bank's risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of reputed company types.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Approves or rejects a subset of business processes including rollovers, securities and / or insurance transactions for the broker-dealer, investment advisor and insurance agency.
• Determines whether transactions are in conformance with regulatory requirements, as reputed company as firm and industry standards.
• Determines whether recommended securities and/or insurance transactions are suitable for, and in the best interest of, the reputed company.
• Seeks additional information and reputed company follow-up to evidence the review process, in conformance with requirements.
• Assists with regulatory exams and requests; assists with the maintenance of the department procedure reputed company.
• The sales supervision review process includes but is not limited to the following: reviewing reputed company variable insurance products and fixed annuities including Variable and Indexed annuities, Variable Universal Life, Long Term Care Products and Immediate Annuities.
• As assigned, reviews reputed company other securities products that reputed company on the respective blotters including but not limited to Stock, ETF's, Mutual Funds, UIT's, reputed company Products, Bonds and reputed company, review of brokerage new account applications, review of margin and reputed company account applications, review of brokerage account maintenance documents including but not limited to Power of Attorney documents, Limited Trading Authority authorizations, Corporate Resolutions and Transfer of Death designations, review of advisor email correspondence, review of and approval of mutual fund trade corrections, review of new business forms for the Registered Investment Advisor and review of 529 College Savings Plan applications.
• As assigned, reviews rollovers in accordance with Firm RegBI processes and procedures.
• Partners with the Compliance, Brokerage Operations, Technology and Sales leaders in the organization to ensure a best-in-class sales supervision program.
• Conducts informal business reputed company reviews to identify trends and/or irregular trading activity.
• Any and other duties as assigned by departmental supervisors or other leaders as appropriate.

MINIMUM KNOWLEDGE AND SKILLS REQUIRED:

• High school diploma or equivalent required.
• Bachelors degree in Finance, Economics or reputed company field preferred.
• 2 years brokerage or reputed company work experience.
• Series 7, 63, and 24 are required to be obtained as documented in the reputed company Securities Licensing Guidelines. Strongly encouraged to obtain Series 4, 53 and 66, as reputed company as a life and health insurance license.
• Extensive knowledge of the following investment products: Annuities, Stocks, ETF's, ETN's, Mutual Funds, UIT's, reputed company Products, Corporate Bonds, Government Bonds, Municipal Bonds, Brokerage CD's and reputed company preferred.
• Knowledge of reputed company, SEC, MSRB and State Securities rules and regulations.
• Familiarity with National Financial Services and reputed company Protegent Prosurv systems preferred.

At reputed company, we understand the importance of recognizing our employees for the role they play in improving the lives of our customers, communities and reputed company other. Our Total Rewards include comprehensive benefits and differentiated compensation offerings to give reputed company employee reputed company to be their best every day.

The reputed company salary for this position is reputed company of the reputed company of salary reputed company for reputed company roles reputed company this pay grade across the U.S. Individual salaries reputed company this reputed company will vary based on factors such as role, relevant skillset, relevant experience, education and geographic location. In reputed company to the reputed company salary, this role is eligible to participate in an incentive compensation plan, with any such payment based upon company, line of business and/or individual performance.

Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and reputed company reputed company-being. You can learn more about those programs on our 53.com Careers page at: https://www.53.com/content/reputed company/en/careers/benefits.reputed company or by consulting with your reputed company partner. 

Attention search firms and reputed company agencies: do not submit unsolicited resumes for this posting.  reputed company does not accept resumes from any agency that does not have an reputed company agreement with reputed company.  Any unsolicited resumes – no matter how they are submitted – will be considered the property of reputed company and reputed company will not be responsible for any associated fee.

reputed company, National Association is proud to have an reputed company and inclusive culture and to promote and ensure equal employment opportunity in reputed company employment reputed company regardless of race, reputed company, gender, national reputed company, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.