Compliance Analyst

  • Location
    Iselin, New Jersey
  • Job type
  • Salary
  • Category
    Accounting & Finance - Financial Sales

Adecco is seeking an experienced Compliance Analyst for a large Fortune 500 financial client located in Iselin, NJ. This is a 3-6 month contract position. 

If you meet the below qualifications and are interested in the position, please apply with a copy of your resume today!

Our client's financial professionals bring families and individuals appropriate options in the form of advice and guidance by selling insurance, annuities, investments, and other fee-based planning services. 

The Analyst will:
- Work closely with Advisor field producers and Senior Management to review transactions and processes for suitability, life replacements, disconnect issues, email review, and internet searches.
- Conduct outreach calls with clients to determine the clients' understanding of the purchase. 
- Approve mid-level complexity Protegent and replacement cases. 
- Escalating or notifying appropriate personnel of non-compliant actions or accounts.

Requirements include:
- Knowledgeable in U.S. Federal and State compliance regulations
- Active FINRA Series 6 and 26 licenses required; Series 6, 26, 7 and 24 FINRA licenses preferred
- Bachelor's degree preferred
- Minimum 3 years professional experience in financial services industry
- Strong knowledge and understanding of compliance requirements and regulations in financial services; broker/dealer laws and regulations
- Knowledge of insurance and investment products, sales and service processes, marketing review

Pay Rate: $35.84 per hour

  • Apply with Adecco

Reference number US_EN_99_028082_11802392