JOB SUMMARY:
Midland National Life Insurance, member of Sammons Financial Group, is looking for three (3) regional Broker Dealer Compliance Auditors. This position will be examining office records and activities of Sammons Security Company, LLC, a comprehensive financial services firm and member of Sammons Financial Group.
This is a challenging position that will be required to perform professional auditing work, which involves conducting operational, financial, and compliance audit projects and providing consulting services to the organization’s management and staff. Maintains all organizational and professional ethical standards.
Each Auditor will cover a regional territory consisting of the East Coast, West Coast, or Midwest Region. Extensive overnight travel is required and this position offers the ability to work from home.
ESSENTIAL FUNCTIONS:
- Conduct an assigned number of branch examinations
- Prepare for each exam by analyzing various reports
- Review branch records and activity during examinations
- Conduct interviews, obtain, analyze, and appraise evidentiary data as a basis for an informed objective opinion on the adequacy and effectiveness of policies and procedures, as well as the efficiency of performance of activities reviewed.
- Educate Branch Managers, registered representatives and staff on various industry rules, regulations, and firm policies during the exam
- Review branch activity and discuss findings with Branch Managers
- Prepare written reports of examination findings and ensure receipt of response letters
- Act as a secondary Home Office Principal when needed
- Conduct special projects when needed
QUALIFICATIONS:
· Bachelor’s degree preferred or equivalent business experience required.
· At least 3 years of relevant brokerage auditing experience with a general knowledge of FINRA and SEC rules and regulations
· Series 7 license and Series 24 license required.
· Knowledge of life insurance and annuity products
· Insurance licenses preferred
· Demonstrates self-starter competencies along with the ability to make reasoned judgments
· Demonstrates excellent written and verbal communication skills
· Demonstrates strong problem-solving skills, leadership and interpersonal skills
· Must be flexible and a strong team player
· Proficient in Microsoft Word and Excel
· Ability to meet deadlines
· Travel required approximately 50% of the year
CONTACT INFORMATION:
Please send resumes to Theresa Sherry at tsherry@nacolah.com