The Market Surveillance Associate investigates and evaluates agent sales practices to identify patterns or red flags that pose risk to the Company. The individual in this position will analyze various sales and compliance reports designed to identify sales practice patterns and will coordinate resolution to findings with field and home office supervisory personnel.
Overview of Market Surveillance Unit:
The Market Surveillance Unit monitors agent sales practices for compliance with regulatory requirements and Company policies and procedures. The MSU conducts investigations and evaluations of agent sales practices, monitors various exception reports, and administers the Company’s Enhanced Supervision process.
- Investigate and analyze agent sales practices to detect potential violations of state and federal laws, FINRA rules, and/or Company procedures.
- Analyze, connect and explore various data points, using company systems and reports, internet searches, public records and email searches to identify patterns and trends that present an overall picture of the agent’s risk profile.
- Prepare clear and concise reports of review findings for Management that include recommendations for remedial action.
- Interface with General Office Management and Home Office supervisory management to coordinate and resolve issues identified during the investigations.
- Assist with the development of surveillance tools and processes.
- Engage in special projects, initiatives and other activities as needed.
- Bachelor’s degree.
- 5+ years experience in the insurance/securities industry, preferably in compliance or operations.
- Comprehensive knowledge of Registered and Non-Registered products.
- Superior judgment in assessing potential compliance matters.
- Strong analytical and investigative skills.
- Decisive and mature with the ability to collaborate and create consensus.
- Excellent verbal and written communication skills.
- Excellent organizational skills. Ability to manage multiple work items, work independently and follow through to completion.
- Strong work ethic and attention to detail.
- Series 6 or 7 or other insurance designation required.
- Proficient with Microsoft Office and expertise in Excel.
- Proficient in using Tableau or similar data visualization software preferred.
- Familiarity with SQL Queries preferred.
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Nearest Major Market: White Plains
Nearest Secondary Market: New York City
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