Agency Supervisory Officer

Our Client, a Life Insurance Agency, is looking for an Agency Supervisory Officer, who will be responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business and manuals established with their business partners. Some travel required including occasional overnight trips.

Responsibilities

Activities performed by the Agency Supervisory Officer include, but are not limited to:

  • Coordinate and document the implementation of the firm continuing education program.
  • Arrange for and/or present at the annual compliance meeting.
  • Ensure that all required agency records are maintained in accordance with Company policy.
  • Conduct inspections of district offices and other detached locations.
  • Establish procedures to ensure that all securities and corporate investment advisory new accounts and transactions are reviewed in accordance with Company requirements by assigned agency personnel.
  • Conduct client file reviews in accordance with the Internal Manual.
  • Responsible for monitoring producers’ outside business activities to ensure that such activities are conducted in a separate and distinct manner and otherwise comply with applicable Company policies.
  • Serve as the primary liaison for the agency with regulators and home office compliance personnel.

Education / Training

Required:

  • License Series 7 and 24, and 53 with 3 months of hire. (Or License 9 & 10 in case of missing Series 24).
  • BA/BS degree (JD or CPA a plus)
  • +2 years of experience in securities of life insurance industry (preferably in compliance of audit area).

Recommended:

  • Experience as an attorney is a plus.
  • Compliance Seminars.
  • Courses about the insurance and securities business.
  • FINRA registered