Job Title: |
Manager - Agency Compliance
Ensure agency compliance responsibilities and related supervisory requirements are maintained. Ensure agency activities and materials comply with all company compliance and related policies and procedures and all relevant FINRA, SEC, and State rules, laws, and regulations.
- Reporting to an Agency Managing Director, oversees a unit of associates responsible for ensuring agency activities and materials comply with company policy and state and federal insurance department regulations.
- Serves as primary registered principal for the agency.
- Develops and maintains an agency specific compliance framework using company criteria and monitors processes to ensure adherence to compliance requirements.
- Trains and monitors agency sales and administrative personnel on compliance policies and procedures.
- Takes corrective action and raises issues to the appropriate party when necessary.
- Oversees and monitors the suitability review, replacement, and AOC, logs and blotters processes.
- Reviews transactions to ensure timely submission, good order and prompt processing.
- Maintains a current and accurate compliance supervisory list. Reviews and scrutinizes the background of potential agents prior to any job offer being made.
- Ensures the appropriate supervision of detached locations to include registered brokers and senior partners.
- Ensures all required visits are conduced and documented.
- Oversees the completion of all required FINRA and Compliance training and tutorial requirements.
- Manages the Annual Individual Compliance Review process for all registered representatives.
- Supervise any outside business activities of registered representatives.
- Manages the client review process, incoming and outgoing correspondence, the sales material review process, the submission of branch office submission forms, and a system to ensure all new business requirements are submitted timely.
- Performs other duties as assigned or required
Full people management responsibility, including hiring, firing, promotions, performance and compensation management, and training and development.
- Minimum 8+ years of related work experience, with 5+ years in the insurance or financial services industry.
- Bachelor’s degree in a related field.
- FINRA Series 7, 24 (Series 9 &10 may substitute for series 24)
Number of Openings
Referral Award Amount
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 - 2 years ago
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