Compliance Coordinator
MetLife - Charlotte, NC

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Job Title:

Compliance Coordinator

Job ID:

71825

Location:

North Carolina

Full/Part Time:

Full-Time

Regular/Temporary:

Regular

Job Location

Charlotte, NC

Job Description

Job Summary:
  • Provides administrative support to an insurance and financial services sales agency.

Functional Responsibilities:
  • Ensures the agency maintains compliance with documented processes and controls.
  • Manages the client file review process and systems to ensure all post-issue requirements are submitted timely.
  • Maintains complaint log, corrective action log, FINRA books and records, and the "Do Not Solicit" system.
  • Tracks and supervises all producer licensing and continuing education requirements.
  • Develops an action plan to complete compliance training for the firm.
  • Completes quarterly compliance certification and review, quarterly compliance checklists, and necessary paperwork for DBAs and shared office space.
  • Monitors and reviews correspondence, AOC transactions, logs and blotters, and sales materials.
  • May back up principal providing MSI oversight and complete Checklist B.
  • Performs other related duties as assigned or required.
  • Supervisory Responsibilities: None.
  • May provide guidance to junior staff members.

Job Requirements

Typical Experience:
  • High school diploma.
  • Minimum 3 yrs. relevant business experience and minimum 1 yr insurance or financial services industry experience.
  • FINRA Series 7 & 24 preferred

Business Category

Americas Region

Job Category

Compliance

Salary Grade

28

Number of Openings

1

Equal Employment Opportunity

MetLife is proud to be an equal opportunity/affirmative action employer. We are committed to attracting, retaining and maximizing the performance of a diverse and inclusive workforce.

How To Apply

For immediate consideration, click on the Apply Now button below. You will be directed to complete an on-line profile which may take 15 – 20 minutes to complete. Upon completion, you will receive an automated confirmation email verifying you have successfully applied to the job.

MetLife - 17 months ago - save job - block
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