Job Description
Job Description
Responsibilities
Intake, assess, and investigate client complaints and regulatory inquiries.Conduct investigations concerning agent misconduct – gather and analyze information. Prepare clear, detailed investigation reports and present findings to management or disciplinary committees.Monitor case progress to ensure timely completion of cases with a strict adherence to deadlines.Liaise with various stakeholders ranging from clients, agents, insurance and mutual fund companies and regulators as required.Support the development, maintenance and implementation of compliance policies, procedures and training.Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.May conduct in-person interviews or site visits as needed (up to 10% travel)Stay current with regulatory changes and compliance best practices.Qualific...
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