Admin - financial / mortgage / insurance office.

Responsibilities:

• Coordinates receipt of submissions via Support Center.
• Daily coordination of all transactions requiring suitability review to include, but not limited to, variable annuities, indexed-linked annuities, fixed-indexed annuities, and non-traded alternative investments.
• Reviews paperwork for completeness and accuracy while processing transactions submitted for review. This could include reviewing financial disclosures and performing calculations in relation to guidelines.
• Resolves missing documentation and reconciles misrouted documentation to the proper case or department
• Responds to requests from Sales Supervision Managers, principals and other departments regarding submissions.
• Assigns Pre-Approval cases to principals for review and ensures that daily workload of the principals is balanced.
• Works with Sales Supervision principals and managers and branch offices to address and resolve deficiencies in submissions.
• Enter transaction data into Direct Order System
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
• Provides strong customer service support by taking in-bound calls and corresponding with branch offices via phone, email and Support Center.