Floor Broker Job Description Sample
Aon Is Looking For A Senior Broker
As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions as part of our Casualty Brokerage within Commercial Risk Solutions, in Bloomington, MN. As a Senior Broker, you will report directly to the Team Leader.
Your Impact As A Senior Broker
Assessing client needs, designing solutions and negotiating with insurance carriers to obtain the risk financing structure, terms and conditions that best align with client's exposures and needs. Work closely with Team Leaders, Account Executives, Account Specialists and other colleagues to understand and address clients' needs.
Working autonomously, effectively and simultaneously on Middle Market and Complex Casualty accounts
Identifying and analyzing client exposures to develop effective client risk treatment and placement strategies
Utilizing internal and external tools and resources to analyze the insurance marketplace and benchmark elements of clients' risk
Facilitate the compilation of submission information in cooperation with the Account Executive and Accounts Specialist teams
Finalize market submission (specifications, exposures, loss data) and submit to markets as appropriate
Negotiate with appropriate markets to meet, or where possible, exceed client coverage and financing goals
Manage commission on brokered products where applicable
Analyze, compare and contrast risk transfer, risk financing and coverage options – providing comparison deliverables for both internal teams and client
Develop and maintain an understanding of analytical/actuarial techniques to design and compare programs – working in cooperation with Aon actuaries where appropriate
Assist in the preparation of strategy and renewal documents; participate in strategy and/or renewal proposal presentations where appropriate
Serve as an internal resource and expert on market trends, pricing practices, insurance product developments, insurance carrier appetites/capabilities/practices and other underwriting developments
Support production teams in sales and RFP processes
You Bring Knowledge and Expertise
Minimum 5 years' experience in Commercial Property & Casualty Insurance
Solid understanding of casualty coverages, commercial package coverages, and concepts of liability, risk transfer and indemnification
Comfort learning and using new systems and applications to manage and analyze data
Comfort using the Microsoft suite of products
Current insurance licensure or ability to quickly acquire producer's insurance producer's license
Minimum 3 years' experience in negotiating program placements
Professional Designation(s) – CIC, CPCU, ARM, CPLU
We offer you
A competitive total rewards package, continuing education & training, and tremendous potential with a growing worldwide organization.
Our Colleague Experience:
From helping clients gain access to capital after natural disasters, to creating access to health care and retirement for millions, Aon colleagues empower results for our clients, communities, and each other every day. They make a difference, work with the best, own their potential, and value one another. This is the Aon Colleague Experience, defining what it means to work at Aon and realizing our vision of empowering human and economic possibility. To learn more visit Aon Colleague Experience.
Aon plc (NYSE:AON) is the leading global provider of risk management, insurance and reinsurance brokerage, and human resources solutions and outsourcing services. Our more than 50,000 colleagues worldwide empower results for clients in over 120 countries with innovative and effective risk and people solutions and through industry-leading global resources and technical expertise. To learn more visit aon.com.
By applying for a position with Aon, you understand that, should you be made an offer, it will be contingent on your undergoing and successfully completing a background check consistent with Aon's employment policies. Background checks may include some or all of the following based on the nature of the position: SSN/SIN validation, education verification, employment verification, and criminal check, search against global sanctions and government watch lists, fingerprint verification, credit check, and/or drug test. You will be notified during the hiring process which checks are required by the position.
Aon provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender identity, national origin, age, disability, veteran, marital, or domestic partner status. Aon is committed to a diverse workforce and is an affirmative action employer.
Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.
Job number: 2448567
Category: Account Management / Brokerage / Insurance
Location: United States, MN, Bloomington
Broker Relationship Manager
Are you interested in becoming part of a dynamic team that is looking to innovate and improve?
Would you like to work for a company that has been rated by the BBJ (15 yrs) as one of the best places to work?
Do you want to be part of a company that is committed to giving back to the community?
Harvard Pilgrim Health Care is currently seeking highly motivated individuals to join our organization as a Broker Relationship Manager. The Broker Relationship Manager reports to the Director of Sales and Marketing Operations and is responsible for relationship building with brokers across four states to drive growth and support Harvard Pilgrim's sales efforts.
WHAT YOU WILL BE DOING:
Build and maintain relationships with brokers across four states to maximize opportunities to sell and maintain business, obtain access to the potential client base of the broker, and ensure good understanding of Harvard Pilgrim offerings.
Strong understanding of broker compensation plans and ability to strategize and build compensation plans that drive the desired behavior, applying market dynamics, financial considerations, and impact of bonus programs on budget and sales results.
Through application of a broker engagement model, work closely with Sales teams to continuously evaluate brokers with the potential to advance in maturity with Harvard Pilgrim, increasing Sales opportunity and solidifying ongoing partnerships with brokerage firms.
Work with Sales on an ongoing basis to target brokerage firms that have the largest untapped potential to ensure that steps are taken to identify how to more effectively engage these firms to drive growth and/or increase retention.
Work with the service team to drive improvement in the broker experience, resolve ongoing issues, conduct follow up from survey results, and monitor broker satisfaction.
Perform out-of-the-box thinking, collaborate with others, and make a difference every day!
Other duties and projects as assigned.
WHAT YOU NEED:
Bachelor's degree preferred and 5-7 years of sales/broker experience, preferably in the health care industry
Strong relationship skills with a high degree of independence and confidence with decision-making
Excellent verbal and interpersonal communication and the ability to work with all levels within the organization and at brokerage firms
Successful candidate must be driven, a team player, reliable, proactive, resourceful, a critical thinker, well-organized, and passionate about their contribution to the team and the success of the company
Resilient, collaborative, flexible, innovative.
WHAT MAKES US STAND OUT:
Paid volunteer time off (up to 3 days annually)
Open Time Off (include for exempt positions only)
Annual Mini-Grant of $500 donated to a non-profit organization of the employee's choice
The above statements are intended to describe the general nature and level of work being performed by employees assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees assigned to this position.
Qualified Licensed Customs Broker
What's the opportunity?
By regulation a licensed Customs Brokerage firm must ensure responsible supervision and control of its operation. The Qualifying Licensed Customs Broker (QLCB) is expected to monitor and manage the Atlanta branch's brokerage operation to ensure compliance with all policies, rules, and regulations. The QLCB is aware of his or her role and obligations to C.H. Robinson, the United States government, as well as the clients that we represent. The QLCB is a liaison with branch leadership, Corporate Customs compliance, our attorneys, and clients. This role is responsible for ensuring that the Atlanta branch maintains a high level of compliance with entry declarations, responses to Customs and PGA requests, and financial transactions with CBP. The QLCB must possess excellent organization, leadership, customer service, and relationship-building skills in order to be successful in this very demanding position. The work that the QLCB performs is imperative to driving compliance, customer satisfaction, and reducing risk to C.H. Robinson as an organization.
Post Customs license for the Atlanta port
Manage the Customs compliance within the greater Customs Brokerage Department
15+ employees submitting declarations and in-bonds under QLCB name to CBP & PGAs
2000+ Entries per Month
What will you be doing?
Exercise responsible supervision and control of the Customs business conducted by the Atlanta branch
Maintain a high level of compliance at the branch per company goals and policies
Deliver continuous education for Customs brokerage entry writers
Attend formal HTS classification course annually
Manage employee records and employee Power of Attorney
Handle port permit, annual, and triennial broker fees to CBP
Design, maintain, and enforce standard procedures at the corporate, branch, and CBP port levels
Direct ownership over branch entry and in-bond operating procedures as well as port specific guidelines
Will be required to review these SOPs with all entry writers and Compliance staff on a yearly basis as well as with any new hires
Lead CBP audits, broker visits, PGA audits, and branch employee audits
Collaborative approach to problem resolution
HTS determinations and reviews
Importer account setup (Navisphere & Navisphere Customs)
ACH & PMS education, handling, and awareness
Conduct Customs brokerage customer annual business reviews
Troubleshoot and design solutions for challenging customer scenarios
Communication: draft client advisories on relevant trade, market, and regulatory updates
Handle post entry/summary corrections, protests, liquidated damages claims, and support prior disclosures
Responsible for recordkeeping, retention, and record/form renewals
Provide guidance to brokerage employees on how to respond to customer and government inquiries
Responsible for auditing, and maintaining satisfactory compliance scores, as a result of the following:
US Corporate Compliance audits
Branch QLCB Audits
VIP customer broker performance scorecards
Handle Customs and PGA correspondence
Facilitate new business acquisition and account development related to full range of customs services
Develop and maintain reporting pertaining to entry productivity and performance
Work with import, operations, and branch leadership with the ultimate goal of improving operational synergies and expanding the branch's revenue from customs services
What are we looking for?
Currently possess Customs Broker License
Become or maintain Certified Customs Specialist status with the NCBFAA
Active participation in local port trade organization, CBP seminars, and other trade events
Bachelor's Degree or equivalent experience working in Customs brokerage or other compliance/regulatory setting
Knowledge of US Customs entry processes and partner government agency regulations
Demonstrated analytical skills
Proven flexibility & adaptability
Possess high energy and positive attitude
Excellent written & verbal communication skills
Light travel (10-20%) as needed for projects, sales support, and business reviews, and trade conferences
Per the Customs Regulations, specifically 19 CFR 111.53(e), a Customs Broker is required to receive written approval from U.S. Customs and Border Protection (CBP) if it knowingly employs any person who has been convicted of a felony. For this reason and unless prohibited by state or local law we will perform our initial background check and an annual check for any person employed in a Global Forwarding Customs Brokerage Department.
We are proud to offer a top-tier benefits package, including medical, dental, vision, life and disability insurance, prescription drug coverage, paid parental leave, paid holidays and paid time off (PTO), 401K with company match, employee stock purchase plan, as well as a broad range of career development opportunities.
About C.H. Robinson
At C.H. Robinson, we believe in accelerating global trade to drive the world's economy. Using the strengths of our people, processes and technology, we help our customers work smarter, not harder. As one of the world's largest third-party logistics providers (3PL), we provide a broad portfolio of logistics services, fresh produce sourcing and Managed Services through our global network. In addition, the company, our Foundation and our employees contribute annually to a variety of organizations. Headquartered in Eden Prairie, Minnesota, C.H. Robinson (CHRW) is publicly traded on the NASDAQ. For more information, visit http://www.chrobinson.com or view our company video.
Equal Opportunity Employer
C.H. Robinson - Affirmative Action Employer/EOE/M/F/Disabled/Veteran
Freight Broker Dispatcher - Miami FL
Tranzport, Inc. http://www.tranzport.com is a growth-oriented company looking for a highly
productive teammates with the ability to self-direct and learn new skills. Our teammates need experience building relationships, conducting training, managing clients and getting partners to "yes."
Tranzport has 2 divisions- Tranzport Cloud and Tranzport Concierge. Tranzport Cloud is a freight reservation and management software we have built for large scale shippers to manage their freight.
Tranzport Concierge is more than a brokerage, it is a dedicated freight concierge staffed to handle a shipment from end to end for our customers.
We are looking for you to join our growing Concierge team.
• Negotiate with the best carriers to provide the best service to our customers
•* Build relationships with your carrier portfolio over phone and email (and even in-person visits with enterprise carriers!)
•* Help dispatchers and drivers learn to use our technology to book and track loads so you can spend more time booking freight
•* Help provide feedback to our engineering teams to continuously improve our core technology for sourcing capacity
•* Assist Tranzport in further building out the company's carrier portfolio by targeting and growing untapped enterprise carriers
•* 1-2 years work experience in carrier sales or Full Truckload shipments.
•* Able to provide great customer service
•* Very strong interpersonal & communication skills
•* Able to communicate well in English and Spanish
•* Able to work under pressure
•* Experience working in a high pressure deadline driven environment
•* Willing to work in a highly entrepreneurial and teamwork oriented environment
•* Computer skill in windows, excel, word, and outlook
•* Multi-tasking capabilities
•* Strong business judgment and analytical skills
This company offers competitive compensation, bonus opportunities, group medical, dental and life insurance, and paid time off.
Specific information related to the position is outlined below. To apply, click on the button above.
You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information. Need Help?
Should you have a disability and need assistance with the application process, please request a reasonable accommodation by emailing BB&T Accessibility or by calling 866-362-6451. This email inbox is monitored for reasonable accommodation requests only. Any other correspondence will not receive a response.
Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
Supports Broker with all job functions to learn the industry, business and job responsibilities necessary for future growth as a Broker. Markets, identifies, solicits, and arranges appropriate insurance coverage for clients by utilizing accessible markets.
Serves as in intermediary between the Agent and the Insurance Company. Drives new business to assist Broker in meeting or exceeding production goals.
Essential Duties and Responsibilities:
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
Develop, maintain and cultivate excellent client and agent relationships.
Promote new business and/or renewal business to achieve production/market criteria as defined by Broker with little or no supervision.
Market and broker CRC products and services.
Negotiate the best terms and coverages available with accessible markets.
Prepare submissions for markets and secure quotes.
Monitor accounts to ensure compliance with the company's policies and procedures.
Assist broker with meeting or exceeding production goals as assigned by CRC.
Maintain current knowledge of the insurance industry and sales ideas through regular attendance at workshops, seminars, literature reviews and/or formal continuing education.
Maintain necessary licenses to produce business.
Required Skills and Competencies:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
College degree or appropriate insurance designation
Current state specific license required
Must commit a minimum of three (3) years to the Program
Ability to review information, make decisions and manage time effectively with minimal or no supervision
Strong desire to advance to the position of a Broker
Must be able to understand and analyze necessary components of insurance policies
Recognize new trends and developments in the insurance industry and be able to incorporate that into your strategy
Must possess and maintain current knowledge of the insurance industry
Good written and verbal skills
Ability to work in a team environment essential
Work Environment and Physical Demands
Ability to work extended hours when necessary
Maintain travel schedule depending on the needs of clients, Agents, and new business
Normal environment; no unusual physical demands
BB&T is an Equal Opportunity Employer and considers all qualified applicants regardless of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law.
EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify
Are you a highly motivated fun-loving individual looking to start an exciting and rewarding career in Logistics? Chariot Logistics, a third-party Logistics company based in Nashville, TN, is looking for people who value hard work and a positive work environment to interview for a position as a freight broker within our growing company. Since our founding in 2012 Chariot has placed an emphasis on: working hard, enjoying our work and rewarding our team members for their accomplishments. So, if you are looking for fast past rewarding career where your accomplishments will be rewarded then apply today.
- Positive Attitude
- Good Work Ethic
- Ability to "Think on your Feet"
- Entrepreneurial Spirit
- Talking to Trucking Companies and Truck Drivers over the phone
- Email Correspondence
- Arranging and Managing Shipment Pickups and Deliveries
- Negotiating Pricing on Shipments
- Building Relationships with Trucking Companies
Bachelor's Degree or Transportation Experience preferred but not required.
This is a full-time position with a salary plus commission compensation structure. Chariot provides company cell phones and laptops and offers eligible employees paid time off. In addition to your PTO, Chariot employees receive the following Holidays paid off:
- New Year's Day
- Memorial Day
- Independence Day
- Labor Day
- Your Birthday-our gift to you!
Broker Success Specialist
Job DescriptionPrimePay. A West Chester, PA based provider of payroll and HR services to small businesses. Because we LOVE small businesses and believe in their impact. We are currently in search of a Broker Success Specialist (BSS) to help us grow our Broker Concierge program and health benefits broker audience.
You: A team player and strong communicator with a flair for marketing & enrollment activities.
Us: PrimePay. A West Chester, PA based provider of payroll and HR services to small businesses. Because we LOVE small businesses and believe in their impact. We are currently in search of a Broker Success Specialist (BSS) to help us grow our Broker Concierge program and create raving fans through comprehensive enrollment of our benefit & compliance services.
At PrimePay, our BSSs are on the front lines of engaging our professional partnerships with benefit brokers across the country. Our top-notch BSSs are armed with resources and comprehensive tools to grow our broker partnerships and in turn, support our field sales team's pipeline. BSSs are also part of a team responsible for the positive onboarding experience of all new PrimePay benefit & compliance services. This team must not only build the relationship with the client but must ensure that the experience is smooth and 100% satisfactory for each client.
You won't go into it alone. Our award-winning training program is here to prepare you for a world of broker networking and enrollment services at PrimePay.
No two days will be the same. But here's what you can count on:
Working directly with Product Specialists and PrimePay Sales to assist and support their ongoing sales efforts with Benefit & Compliance Services
Creating a raving fan enrollment experience with our referring partners and their clients, responsibilities including:
Enrollment of all new benefit & compliance services opportunities
Coordinating the applicable new business paperwork through onboarding calls with the client and referring partners
Collaboration with the PrimePay implementation team to facilitate a quick, accurate and efficient installation of PrimePay services
Communicate next steps and expectations with the client and update them of key status changes or milestones that are met
Responsible for the successful handoff from enrollment/implementation to the dedicated service teams
Broker Success Responsibilities
Enrolling new brokers into the Broker Concierge program
Introducing new Broker Concierge broker partners to the program by communicating the program's features, benefits, tools & resources, marketing materials, and special promotions that may apply
Fielding inbound inquiries from broker partners to the Broker Concierge team
Assisting any of our broker partners with sales and service questions
Helping to grow our broker partnerships by increasing engagement and identifying opportunities
Coordinating campaigns with our field sales team to generate more opportunities nationwide
Working with broker partners to identify their true needs and how we can assist
Documenting intelligence data in our CRM
Utilizing our Broker Concierge portal to advertise PrimePay and the true values of our Broker Concierge program
Sound good? Fantastic! If you have these qualities, you may be our next BSS:
2-3 years of professional work experience
Associates or BA/BS degree
Effective communication and networking skills; Must be comfortable using them over the phone
Demonstrates strong attention to detail
Ability to problem solve and set priorities
Strong time management skills and the ability to meet deadlines with accuracy
Basic Microsoft Office knowledge
Experience in employer benefits (preferred, but not required)
One year of account management experience (preferred, but not required)
Salesforce.com knowledge (preferred, but not required)
PrimePay offers medical, dental and vision insurance, 401(k) with matching, paid time off, paid holidays, flexible spending account, life insurance and STD/LTD.
Designated Managing Broker
The Designated Managing Broker will be responsible for the successful administration of eXp Realty's brokerage operations in her/his state. In supporting our agents in the delivery of exceptional real estate brokerage service to their clients, this position will be accountable for all operational elements necessary to comply with the individual state license law, REALTOR association membership and MLS participation, along with the transaction review process, compliance training, and the eXp Risk Management program. This person will have an exceptional track record as a supervising real estate broker of a medium to large firm, an understanding of real estate brokerage at a state level, an aptitude for leading and inspiring teams, a collaborative approach and a boundless work ethic. They must be a "people-person" but also possess the ability to implement systems and processes.
Major Duties & Responsibilities:
As a key participant on the eXp Realty state leadership team, she/he ensures that eXp delivers exceptional brokerage support to agents in their representation of clients and customers
Acts in the capacity of the state Principal Broker
Conducts training to enhance agent's knowledge and understanding of contract, risk management, licensing and state real estate law
Promptly responds to agents request for assistance
Effectively consults and engages with eXp agents and others in problem solving of matters associated with difficult or complex transaction issues
Performs contract review to ensure legal and contractual compliance of transactions
Responsible for the administration and management of eXp's State Trust Account according to state law (if one is required)
Collaborates with the Vice President of Brokerage Operations and the Regional Director of Brokerage Operations and the eXp legal department to ensure that eXp state brokerage operations comply with all applicable laws and regulations including state license law
Monitors state performance goals and enforce accountability for their achievement
Ensures the implementation of the eXp Risk Management Program and valued risk management tools to eXp Agents
Oversees the administration of and is the primary point person for eXp's relationship with local REALTOR associations and Multiple Listing Services
Manages and implements the ongoing enhancement of and compliance with company-wide and individual state brokerage operations manuals
Supports innovation in how the company can efficiently support its growing state agent base in terms of brokerage operations
Supports the Regional Leadership Broker(s) by positively engaging with prospective agents who are interested in joining eXp
Works hand-in-hand with the Regional Leadership Brokers for the overall success of eXp in their state
Mediates issues between eXp agents within the state when required
Coordinates distribution of inbound mail
Such other duties as may be assigned
Investment Counselor (Financial Advisor/Stock Broker Alternative) (2019-7726)
Calling all financial advisers and stock brokers: You can stop prospecting now.
You can stop book building, marketing, swimming through paperwork, scrapping for commissions, and feeling conflict over selling products versus providing service.
Why? Because whether your background is in finance or investments, this is the next step in your career that you've been waiting for. It's your window to move out of sales and into bettering peoples' lives. With no products to push or quotas to hit, you're free to focus on the core of our business: relationship management.
As an Investment Counselor, you will be the face and voice of Fisher Investments. You will spend your time on an assigned roster of high-net-worth clients, educating them on our top-down investment philosophy, explaining why we've made certain decisions for their particular portfolio, and helping them understand events in the market. Your sole mission is to help your clients stay on track with their long-term financial goals.
When you come to work for us as an Investment Counselor, we provide you with an arsenal of support, including:
An advanced finance and capital markets education through our training and mentoring program, allowing you to learn how our firm is different from our competitors and why that gives us a competitive advantage.
Internal portfolio decision-makers and auxiliary research teams who handle the portfolio itself, meaning you can focus on providing unparalleled customer service. You're free to take off your "many hats" and become an expert in client relationship management and education.
Ongoing career development, empowering you to discover your own career path.
Opportunities for advancement driven by performance and attitude.
Competitive compensation that aligns your interest with the client's, instead of working against each other.
You're meant for this role if you have finance experience and a thorough understanding of the investment industry. You will succeed if you have a desire to develop longstanding relationships as opposed to selling products or trading accounts. You will thrive if you have a tremendous desire to explore new opportunities and challenges—and along the way, seek to help us in our quest to better the investment universe. Finally, you will excel if you continuously strive to put your clients first.
Don't miss it, though, these are coveted positions within the firm and tend to fill fast. Take your career to the next level and apply today!
Why Fisher Investments:
Fisher Investments is a different kind of investment firm. We don't come from Wall Street, nor do we believe we fit in with most of the finance industry, and we're proud of that. We work for a bigger purpose: bettering the investment universe. From unmatched service to innovative perspectives on investing, it's the people that make the Fisher purpose possible. After all, it's our people that enable us to offer the level of service that we do. And we invest in them accordingly, offering exceptional benefits like:
100% coverage of premiums for health, vision and dental insurance
A 50% 401(k) match, up to the IRS maximum
20 days of PTO*, plus 9 paid holidays
And much, much more
We also provide a cumulative, continuous learning and development framework customized for every employee. This emphasis on personal and professional growth has yielded an award-winning work environment; we're Great Place to Work Certified, and The Oregonian named us as a 2017 and 2018 Top Workplace.
But in the end, it's not the perks that keep people here. They stay because they believe in our mission of service—our employees want to make a difference in an industry that can do better.
- California employees accrue up to 17 days of PTO and 3 days of sick time per year.
FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER
Broker Dealer Senior Compliance Specialist
Our Senior Compliance Testing Specialist will play a critical role in the successful execution of the firm's compliance mission. This position will ensure the development and maintenance of a strong compliance culture by identifying measures and monitoring adherence with applicable laws, regulations and rules that govern our business. The Compliance Specialist Senior will work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risk and, monitor and test the adequacy of the firm's compliance control environment.
Understand and apply regulatory requirements in the design and testing of the firm's policies and procedures.
Communicate testing findings to the business, makes recommendations to improve policies and procedures.
Ensure adherence to internal policies and procedures, as well as informing registered representatives and management of new rules and regulations, and inform management of potential violations.
Maintain working knowledge of compliance regulations, industry topics, and continuing education to assist in the development of Compliance related training programs.
- Bachelor's degree. Four additional years of segment-specific or risk experience may be considered in lieu of a Bachelor's Degree.
- 3 or more years of compliance/operational experience in the securities industry required.
Experience in performing testing, branch exams and/or surveillance functions
Series 7, 63, 65 or 66, 24 registration is required or must be obtained within 120 days of start date.
Knowledge of concepts, products, practices, operational processes, and compliance techniques for the financial services industry.
Series 53, 4; Life and Disability licensing is desirable.
Ability to understand complex legal and regulatory issues, FINRA rules and regulations.
Advanced MS office skills including Word, Excel and PowerPoint. Ability to learn proprietary software.
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