National Planning Corporation® (NPC®) has an opening for a
Manager, IA Compliance
. NPC is a full-service Broker-Dealer and Registered Investment Adviser serving independent representatives nationwide.
NPC is part of the National Planning Holdings, Inc. (NPH) network affiliated with Jackson National Life Insurance Company® (“Jackson®”).
Jackson is one of the nation's largest and fastest growing financial services companies, with over $100 billion in total assets. Jackson offers a range of retirement products and services including variable, fixed and fixed index annuities. Please visit our website at
for more information.
Manages the IA Compliance Unit. Leads and manages staff and business functions. Ensures that all regulatory and compliance requirements are met. Resolves departmental and client related issues.
Essential Job Duties & Responsibilities
Manages staff and has accountability for personnel actions including hiring, performance management, compensation, training and development, discipline, and termination.
Maintains unit policies and procedures and is responsible for updates to the IA manual.
Acts as a subject matter expert about the IA Compliance function; assists in resolving escalated or complex issues.
Oversees the review of exception reports for patterns of sales practice issues or violations of SEC and firm regulations.
Manages the daily and periodical oversight and analysis of trading activity and other activities of registered representatives.
Resolves complex or escalated issues.
Keeps abreast of new regulations and compliance matters; ensures that all regulatory and compliance requirements are met.
Contributes to the planning and budgeting process by providing data analysis and recommendations.
Coordinates responses to legal, audit or regulatory requests.
Ensures unit maintains compliance with books and records requirements.
Acts as a subject matter expert and represents the department at meetings.
Responsible for user acceptance testing of new systems and system upgrades.
Other duties as assigned.
Develops and delivers training materials and presentations as needed.
Job Requirements (Knowledge, Skills & Abilities)
Strong knowledge of FINRA, SEC and state regulations.
Strong knowledge of financial services products.
Demonstrated ability to motivate and manage staff, including the ability to delegate.
Knowledge of and ability to administer personnel actions including performance and salary reviews, hiring, discipline and termination.
Demonstrated ability to make effective decisions.
Strong knowledge of company policies and procedures.
Strong research, investigative and interpretation skills.
Strong written and verbal communication skills.
Strong knowledge MS Office and other relevant computer applications.
Education and Experience Required
Bachelor’s degree or equivalent.
5 - 8 years experience preferred.
Certifications, Licenses, Registrations
Series 7, 24, 63 and 65; or 7, 24 and 66, required.
Jackson offers an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance benefits, a 401(k) retirement plan with matching, and a college tuition reimbursement program for employees and eligible dependents.
Online applications requested. Contact
for alternate formats for accommodation.
Equal Opportunity Employer
Company facilities and campuses are tobacco-free environments.
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all job duties performed by the personnel so classified.
National Planning Corporation
Jul 18, 2014, 10:16:56 AM
Jackson National Life Insurance Company - 30+ days ago
Jackson National Life Insurance Company, a subsidiary of UK insurer Prudential plc, offers financial services (fixed, indexed, and variable...