Job Description

The Agency Supervision Training Consultant is responsible for assisting Firm in ensuring all agency trainings are completed and aligned with company policies and procedures, ethics and compliance standards and rules set forth by FINRA, SEC, and State Insurance Departments. Supports licensing and credentialing efforts at the firm level.

Duties and responsibilities

• Monitor and track requirements for Finra CE, NRF’s pertaining to all associates and advisors
• Conduct initial review and monitor CSR System and checks
• Updates Career agents in agency systems and maintains information on non-registered fingerprinted persons
• Prepare scheduled PI and DO documents for Compliance Team
• Track and monitor all registered representative for annual compliance requirement
• Offer support to firm regarding pre-training requirements for the sale of products
• Work closely with HR team to ensure all training requirements are met for New Agents
• Assist licensing team with questions, request, and/or tracking
• Maintain information on state changes and updates to regulations
• Support Compliance efforts on behalf of the firm
• Various projects as assigned

Qualifications

Education

Bachelor’s Degree

Experience

• 1-2 years of internship or work experience
• Insurance background preferred
• Experience editing PDFs preferred

Knowledge, Skills, and Abilities

• Excellent written and verbal communication skills
• Ability to work with a team as well as individually
• Creative and resourceful
• Exceptionally professional, organized, and detail-oriented; demonstrates ability to organize time and meet deadlines
• A can-do, proactive attitude with the ability to adapt and deliver under pressure

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