Senior Compliance Consultant

Bristal Lane Group is looking for a Sr. Compliance Consultant. This position will be primarily responsible for assisting with the compliance management and oversight of our RIA, broker-dealer and insurance clients. Additional responsibilities will include supporting general compliance functions relating general supervision. This role will interact with BLG team members, other senior consultants and senior management of our financial services clients.

Main Responsibilities:

· Process state registrations and insurance licenses and track continuing education requirements

· Facilitate courses and exams for securities registrations and insurance licensure

· Coordinate reporting for licensing activity

· Track & Monitor Annual, Quarterly and Monthly Firm Element and Compliance Requirements

· Perform e-mail reviews.

· Manage compliance email box and respond to questions appropriately

· Aggregate data for monthly, quarterly supervisory reports

· Prepare 407 Letters in response to employee requests when opening accounts at another financial institution

· Review and log gifts, entertainment and non-cash compensation activity and publish periodic reports

· Conduct review of annuity and life insurance marketing materials, including social media posts, blogs, videos and podcasts, and review and monitor electronic communications for compliance with regulations and policies

· Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls

· Respond to questions from business unit personnel regarding compliance policies and procedures

· Assist with ad hoc projects and various initiatives

Qualifications:

· Previous experience in testing or audit fields is a benefit

· FINRA Supervisory licensing preferred – but not required

· Experience with advisory compliance a requirement, acting as a CCO a plus

· Minimum 5+ years of financial services experience

· Knowledge and understanding of insurance laws, SEC regulations, FINRA rules and other requirements related to the life and annuity business

· Sound judgment and ability to analyze complex situations

· Strong work ethic, team player

· High degree of professional ethics and integrity

· Excellent organizational skills and attention to detail

· Effective communication skills, both verbal and written

· Commitment to customer service and quality

Bristal Lane Group is a national consulting firm focused on the Financial Services industry. Specialty practice areas include compliance consulting, outsourced operations, technology integrations, regulated entity startups, outsourced CFO and FINOP services and strategic consulting.