Summary of Responsibilities: This is a broad-based compliance position, with responsibilities spanning many different areas of compliance applicable to a wholesale broker/dealer and major insurance product manufacturer.
Oversee ongoing maintenance of policies, procedures, training and communications and other resources for third-party distribution to ensure they are up to date at all times.
Oversee broker/dealer compliance requirements to ensure appropriate completion and recordkeeping.
Provide compliance guidance and support to various business partners including internal and external wholesale groups, account management and others.
Evaluate current methods and strategies and identify opportunities for changes and improvements to processes.
Serve as one of the key contributors representing third-party distribution for the Compliance Risk Management (CRM) program.
Maintain (CRM) information on the Governance Risk Controls (GRC) system. This includes ongoing updating of existing risks, updating related rules, laws and standards and entering monitoring and testing documentation.
Coordinate development, implementation and/or track monitoring and testing activities for risks impacting third-party distribution.
Evaluate new rules, laws and standards and assess impact on the Compliance Risk Management program for third-party distribution. Update in GRC and direct updates to policies and procedures as appropriate.
Review and research regulatory complaint cases, assess and provide guidance as appropriate.
Lead or participate in special projects as needed.
Perform other general compliance functions as required.
Position will either serve as a higher level contributor/team lead or manager of 2-4 other associates depending on experience and skill level.
Bachelor's Degree or equivalent formal training
At least 5 to 7 years of relevant professional experience
Excellent knowledge of the broker-dealer and insurance industry, including insurance and securities laws and regulations,
Excellent written and verbal communications skills; training and presentation experience highly desired
Ability to achieve results independently and direct a team with excellent analytic and decision-making skills.
Exceptional organizational and time-management skills including the ability to prioritize multiple projects at varying stages in a dynamic environment in order to meet tight deadlines.
Solid judgment and the ability to evaluate compliance issues
Ability to work effectively with individuals at all levels of the organization
Ability to build partnerships with other departments within MetLife
Must have strong organizational skills, including project management, attention to detail and be able to multi-task under pressure
Proficiency in Microsoft Office applications
FINRA Series 6 and 26 or 7 and 24 required
Experience with people management preferred
Five to Seven Years
Bachelors Degree Preferred
Equal Employment Opportunity
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
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MetLife - 22 months ago
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