Agency Supervision Training Consultant

The Agency Supervision Training Consultant is responsible for assisting Firm in ensuring all agency trainings are completed and aligned with company policies and procedures, ethics and compliance standards and rules set forth by FINRA, SEC, and State Insurance Departments. Supports licensing and credentialing efforts at the firm level.Duties and responsibilitiesMonitor and track requirements for Finra CE, NRF's pertaining to all associates and advisorsConduct initial review and monitor CSR System and checksUpdates Career agents in agency systems and maintains information on non-registered fingerprinted personsPrepare scheduled PI and DO documents for Compliance TeamTrack and monitor all registered representative for annual compliance requirementOffer support to firm regarding pre-training requirements for the sale of productsWork closely with HR team to ensure all training requirements are met for New AgentsAssist licensing team with questions, request, and/or trackingMaintain information on state changes and updates to regulationsSupport Compliance efforts on behalf of the firmVarious projects as assignedQualificationsEducationBachelor's Degree Experience1-2 years of internship or work experienceInsurance background preferredExperience editing PDFs preferredKnowledge, Skills, and AbilitiesExcellent written and verbal communication skillsAbility to work with a team as well as individuallyCreative and resourceful Exceptionally professional, organized, and detail-oriented; demonstrates ability to organize time and meet deadlinesA can-do, proactive attitude with the ability to adapt and deliver under pressure

Created: 2025-02-16