Compliance Officer

Integrity•Scottsdale, AZ

23h

About The Position

Annexus Compliance Officer, working under the direction of the Chief Compliance Officer, you will be responsible for compliance analysis, programs, initiatives, and policies and procedures for all product lines offered to meet business objectives and profitability goals.

Requirements

Bachelor’s Degree; Juris Doctor a plus.
FINRA Series 7 registration is currently active.
Must obtain Series 14 or 24 and 63 within 6 months of hire.
Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
Excellent project management and process improvement skills.
Strong communication, presentation, and analytical skills.
Ability to influence change.
Organized with the ability to handle multiple tasks and multiple priorities simultaneously.
Ability to work independently and communicate results.
Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.

Nice To Haves

Life and Annuity Insurance license is preferred.

Responsibilities

Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm’s type of business and its written policies and procedures.
Update applicable written policies and procedures for consistency with new regulations or activities.
Maintain and update the firm’s monitoring, testing and surveillance program.
Testing and reviewing the firm’s electronic communications for any misleading information or suspicious activity.
Review and approve Sales Material and Advertising.
Assist with monitoring, filing and amending the firm’s and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
Assist in development and implementation of the firm’s continuing education plan to complete compliance training for the firm.