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Senior Advanced Insurance Consultant Responsibilities: Consult with advisors on cases where greater experience is required. Interactions with advisors include advanced sales strategies, mining books of business, occasional point-of-sale assistance. Follow-up..
SVP, Deputy CCO Responsibilities: Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking..
Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team..
VP, Associate Counsel Duties: Legal analysis of the application of federal and state laws and regulations as applied to the company’s technology initiatives. Drafting and negotiating provisions for a wide..