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This position is entry level within the Field Office Examinations Unit of Insurance Division Compliance. The primary responsibility of the Field Office Examinations Unit is to conduct field office examinations of Agency Distribution field offices. These examinations are conducted annually in order to evaluate the adequacy of supervision and compliance related controls. This individual will support the Field Office Examinations Unit in implementing compliance oversight procedures. This position will be based in Newark, NJ and travel is required.
- Assisting senior examiners in preparing for and executing field office examinations. This includes reviewing applicable Company policies and procedures and discussing with Field Management as necessary, testing the adequacy of control systems established in the agency, and discussing the results of the examination with Management.
- Identifying and assessing risks unique to the field office that were not addressed as part of the standard examination process.
- Planning examinations by utilizing Company systems and databases to gather pertinent records, and analyzing the information, and identifying issues for testing during the examination.
- Soliciting input regarding agency activities from other Agency Distribution (e.g., Corporate Operations and Controls) and Compliance units (e.g., Broker-Dealer unit).
- Documenting controls tested and issues discussed during the exam and preparing written reports outlining the results of the examination work performed.
- Providing compliance education/support to field associates in conjunction with the examination.
- Supporting Field Management and business channel contacts by researching and resolving compliance related questions or issues as they arise.
- Participating in projects and other reviews (e.g., oversight reviews) as necessary.
Ideal candidates would be those possessing securities/life operational and or sales assistant experience. College graduates with accounting and/or finance degrees together with recent military personnel with transferable life experience will also be considered.
- Bachelor's degree or equivalent work experience.
- Excellent oral and written communication skills.
- Excellent interpersonal and relationship building skills, including the ability to effectively communicate with individuals at all levels of within the Company.
- Highly motivated and able to adapt to changing priorities, must be able to work independently.
- Excellent analytical and time management skills and attention to detail.
- Ability to effectively analyze and evaluate the effectiveness of control systems.
- Candidate should be discreet, professional and able to use sound judgment.
- Knowledge of the securities industry including the various regulatory agencies (e.g., FINRA) desired.
- Understanding of insurance and investment products desired.
- Ability to obtain FINRA Series 6 registration within six months of hire.
- Proficient in Microsoft applications, and web navigation and applications including Internet Explorer is preferred.
* This position will require overnight travel of approximately 30 - 35%, as well as occasional travel to Dresher, PA for training and meetings.