Job Postings

Compliance Analyst

We are seeking a Compliance Analyst in our Boston office to assist with all compliance related issues for a specific territory of registered reps. Candidate must have experience at a NASD broker dealer or experience at a regulatory agency.

DUTIES:

• Act as a liaison between new reps and the back office
• Assist with the transition of becoming a registered rep, including processing U4s, block transfers, etc
• Approve advertising, marketing materials, business cards, etc for registered reps
• Provide support in implementing new company programs with regards to compliance
• Maintain client and rep files
• Help process new business
• Approve investment transactions

REQUIREMENTS:

• Bachelors degree
• 4+ years prior compliance experience
• NASD Series 7, 24 preferred
• Proficient in Web CRD system
• Working knowledge of NASD advertising regulations, AML, OFAC and all other NASD and SEC regulations

SKILLS:

• Great customer service skills a MUST
• Ability to work in a fast paced environment
• Must be able to work independently and with a team
• Attention to detail
• Must be able to meet deadlines/time management
• Must be motivated

BENEFITS:

• Competitive salary
• SAR SEP plan with quarterly company contribution
• Generous vacation package
• Wellness Program
• Comprehensive health and dental plan
• Training and development opportunities

New Business Case Manager

We are seeking a qualified, detail oriented New Business Case Manager for our Boston office. Candidate must have experience in the life insurance industry either by working in a carrier home office or working in a brokerage firm which deals with multiple carriers.

Position is the liaison between the selling agent and the insurance carrier. Must exhibit a skill set including organization, customer service skills, and problem solving skills. Candidate MUST be detail oriented, pro-active and take initiative. Candidate also MUST be able to perform follow-up and perform multiple tasks. This is a fast paced environment with a high standard of expectations from clients.

REQUIREMENTS:

• Must have previous experience as a case manager in the insurance industry
• Strong customer service skills
• Bachelors Degree
• Must be extremely organized and detail-oriented
• Must be able to meet deadlines and be pro-active

BENEFITS:

• Competitive salary
• Comprehensive benefit package
• Wellness program
• Training and Development Opportunities