Job Description:

• Compliance reviews including advertising, correspondence, seminars, sales literature, Web/Social Media activity and outside account statements
• Review/approve transactions pertaining to Brokerage, Direct Mutual fund accounts
• Manage annual anti-money laundering audit, firm-wide cyber-training program, and annual compliance attestations/Outside Business Disclosures
• Supervise brokerage accounts distributions
• Review annuity vendor contracts and other vendor contracts
• Conduct field audits of branch offices