Job Overview:
As a whole, the compliance team shapes the culture of compliance in the office. The team prioritizes effectively and will work within a team to accomplish network office goals. Under the direction of the Director of Supervision, the Assistant Director of Supervision will supervise the activities of financial representatives and their employees with respect to laws, regulations, and Company rules related to insurance and securities sales practices. Supervision includes representatives and employees located in the Network Office and associated Registered Branch Offices (RBO) and detached offices. You’ll evaluate situation risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working and an eye for efficiency. We are only currently considering candidates who are fully licensed to perform the role (see requirements).

Below is a partial listing of duties:

• Annual review of Financial Representatives and Registered Branch Offices
• Supervisory review of emails, variable annuities, speaking engagements and marketing material
• Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
• Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff
• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
• Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
• Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns
• Support the direction of the Local Network Office compliance program

Requirements:

• Must already hold the series 7, 63, 9 and 10
• Ability to obtain IL Life & Health within 90 days of start
• Bachelor's degree in finance, accounting, or a related field preferred
• Ability to maintain confidentiality
• Excellent analytical skills with the ability to interpret complex financial data
• Exceptional communication and interpersonal skills
• Strong attention to detail

Job Type: Full-time

Pay: $75,000.00 - $80,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Disability insurance
• Employee assistance program
• Flexible spending account
• Health insurance
• Life insurance
• Paid parental leave
• Paid time off
• Parental leave
• Professional development assistance
• Retirement plan
• Vision insurance

Experience level:

• 2 years

Schedule:

• 8 hour shift

Experience:

• Financial services: 2 years (Required)

License/Certification:

• Series 9 and 10 license? (Required)

Ability to Relocate:

• Chicago, IL 60606: Relocate before starting work (Required)

Work Location: In person