Compliance Support / Compliance Analyst

Compliance Support / Compliance Analyst

White Plains, NY or Remote

EST Time Zone

Summary

The consultant will support the team supervising a wide range of agent activities, with primary focus on electronic communications including social media. This role is essential in monitoring agent communications, as it will assist in applying new risk-based criteria to social media content to ensure increased scrutiny, particularly of posts that include pictures and video content.

The consultant will also contribute to other supervisory functions, which may include work with fiduciary requests, the email opt-out process, disconnected social media profiles, and several other functions the team supports.

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Key Responsibilities

• Assist with supervisory responsibilities related to electronic communications review, with a primary focus on social media supervision

• Utilize multiple internal systems, third-party vendor platforms, and ChatGPT to support communications surveillance activities

• Run and analyze electronic communications reports, including leveraging GPT tools to assist with data review and categorization

• Assess communications to distinguish business vs. non-business content and route business-related communications for Registered Principal review

• Support additional supervisory and compliance functions as assigned, requiring rapid learning of internal policies and industry regulations (insurance and FINRA)

• Navigate multiple systems simultaneously while managing competing priorities and deadlines

• Collaborate closely with Compliance, Supervision, and other internal stakeholders on an ongoing basis

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Must Have Skills / Experience (Non Negotiable)

From intake call:

• Comfort navigating new systems

• Interpersonal skills — working with multiple people on the team, speaking up in meetings

• Insurance/Securities industry experience

• Technically savvy / familiarity with content creation (Instagram)

• Comfortable “living and working in the grey” with strategic regulatory goals in mind

Additional required qualifications from the formal description:

• Strong analytical skills with the ability to review, interpret, and assess electronic communications

• Excellent verbal and written communication skills

• Strong organizational skills and ability to manage concurrent work items

• Ability to work independently and collaboratively

• Demonstrated strong work ethic and high attention to detail

• Proficiency with Microsoft Word and Excel

• Comfort using ChatGPT or similar AI tools

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Preferred Qualifications

• Prior insurance and/or securities industry experience (compliance, supervision, operations)

• FINRA Series 6 or 7, or insurance-related designation

• Knowledge of Life Insurance, Fixed & Variable Annuities, Mutual Funds