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Posted: Wednesday, January 17, 2018 3:11 PM

Job Description:/h3:
The Risk Control Officer (FINRA Series 7, 24 and 65/66 licensed) is a key member of the Agency management team and plays a vital role in ensuring the agency and sales professionals comply with company standards and requirements established by state insurance departments, FINRA, SEC and other applicable regulatory entities. The ACO, in conjunction with the General Agent or Agency Head, is responsible for setting the tone regarding sales practices within the agency. As a Registered Principal, the ACO, along with the General Agency or Agency Head, is responsible for the supervision of the Agencys sales professionals.
Responsibilities*:
:Monitor and review investment transactions for suitability.
:Maintain updated knowledge of FINRA, SEC and state statutes that apply to the financial services industry.
:Provide oversight of outside business activities.
:Supervise investment advisory activities of the agency.
:Conduct detached office supervisory reviews.
:Review and monitor tends with respect to sales practices and implement corrective actions as necessary.
:Work with NCO team members to assist with e:mail and suitability issues that arise.
:Oversee the completion of annual compliance meetings, firm element requirements, and overall compliance related training.
:Assist agency leadership in reviewing potential recruits who meet broker/dealer and company standards.
:Ensure that all licensing and registration requirements are met.
:Supervision of marketing activities.
:Supervision and approval of gifts and gratuities.
:Maintain accurate and complete regulatory filings relating to the Agency/Branch, as well as any detached registered and non:registered locations.
:Function as key contact or point person in case of regulatory examinations and internal audits and inspections.
:Respond to all home office examinations and implement action plans to mitigate future re occurrence.
:Implement updates to the policies and procedures as necessary.
:Identify and implement opportunities for operating and procedural efficiencies.
:Monitor social media for adherence to the policy. Submit all pages for compliance approval and work with financial representatives to resolve issues.
:Support creation of advertising submissions, Guardian, and Berkshire.
*This list is not all:inclusive of job responsibilities
Preferred Skills/Experience:
:FINRA Series 7, 24 and 65/66 registrations.
:4:Year College Degree or relevant work experience.
:Minimum 3 Years of experience in Financial Services Industry.
:Strong verbal, written and listening communication skills.
:Solid organizational skills and ability to multi:task.
Reports to: COO
Status: Exempt
Company Description:/h3:
Headquartered in Bethesda, Maryland, First Financial Group is a complete financial services firm : one of the largest independently owned businesses of its kind in the Mid:Atlantic region. The firm employs over 140 representatives and 1,200 licensed brokers.

Source: https://www.tiptopjob.com/jobs/76730402_job.asp?source=backpage


• Location: bethesda, District Of Columbia

• Post ID: 43844557 washingtondc
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