Agency Compliance Manager

Company Name:
Job Location
Virtual Location
Job Description
Job Summary: Ensure agency compliance responsibilities and related supervisory requirements are maintained. Ensure agency activities and materials comply with all company compliance and related policies and procedures and all relevant FINRA, SEC, and State rules, laws, and regulations.
Functional Responsibilities:
1) Serves as primary registered principal for the agency. Develops and maintains an agency specific compliance framework using company criteria and monitors processes to ensure adherence to compliance requirements.
2) Trains and monitors agency sales and
personnel on compliance policies and procedures.
3) Takes corrective action and raises issues to the appropriate party when necessary.
4) Oversees and monitors the suitability review, replacement, and AOC, logs and blotters processes.
5) Reviews transactions to ensure timely submission, good order and prompt processing.
6) Maintains a current and accurate compliance supervisory list.
7) Reviews and scrutinizes the background of potential agents prior to any job offer being made.
8) Ensures the appropriate supervision of detached locations to include registered brokers and senior partners.
9) Ensures all required visits are conduced and documented.
10) Oversees the completion of all required FINRA and Compliance training and tutorial requirements.
11) Manages the Annual Individual Compliance Review process for all registered representatives.
12) Supervise any outside business activities of registered representatives.
13) Manages the client review process, incoming and outgoing correspondence, the sales material review process, the submission of branch office submission forms, and a system to ensure all new business requirements are submitted timely.
14) Performs other duties as assigned or required
Typical Experience:
1) Minimum 5+ years of related work experience, with 5+ years in the insurance or financial
's degree in a related field.
Required Experience:
FINRA Series 7, 24 (Series 9 &10 may substitute for series 24) and series 53 required. CFP, ChFC, and/or CLU preferred
Business Category
Americas Region
Salary Grade
Number of Openings
Equal Employment Opportunity
MetLife is proud to be an equal opportunity/affirmative action employer. We are committed to attracting, retaining and maximizing the performance of a diverse and inclusive workforce. It is the policy of MetLife to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, creed, religion, national origin, alienage or citizenship status, age, sex, sexual orientation, gender identity or expression, marital or domestic/civil partnership status, disability, veteran status, genetic information or any other basis protected by law.
How To Apply
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