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- Weekly Pay
- Equipment is provided
Our client is seeking a Regulatory Supervision Analyst to join their Advisors division. The primary responsibility of the Analyst is to handle the discipline process. Sales conduct violations of Company and/or regulatory rules/requirements are reported to Advisor Hiring & Oversight for disciplinary review.
Job Details:
- Review and prepare the case documentation to ensure all pertinent information is obtained to make an informed decision regarding disciplinary action to be taken.
- Analyze the sales representative’s disciplinary and training history for consideration in the disciplinary action decision.
- Research and summarize the Company, FINRA, and State regulations that were violated.
- Discuss the violations with Field Management and make a recommendation of disciplinary action or training to be taken in response to the violation.
- Help train Field Management on their responsibility with respect to the discipline referral process.
- Prepare the disciplinary letters for Field Management’s delivery to the financial professional.
- Maintain the record keeping databases to ensure accuracy.
- General compliance oversight and leading project teams as necessary to coordinate and complete special project assignments.
The Jacobson Group is the leading provider of insurance talent. For more than 50 years, we have been connecting insurance organizations with professionals from the board room to the back room on both a permanent and temporary basis. We offer a variety of solutions including executive search, professional recruiting, temporary staffing, subject matter experts, and onsite and work-at-home operations support. Regardless of the need or situation, Jacobson is the insurance talent solution.
