Company: World Insurance Associates
Job description: Position Objective, Typical Duties and Responsibilities
We’re currently seeking a Compliance Specialist to support the firm’s Compliance Program. You will report to Manager-Compliance Operations
- Develop and manage a Compliance Department activity reporting system.
- Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments.
- Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received.
- Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
- Assist management and other compliance personnel with the completion of various projects and testing.
- Other duties as assigned.
- Bachelor’s degree (B.A./B.S.) in a related discipline required. Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.,
- Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire).
- Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.
- A deep understanding of industry rules governing supervision, suitability, and registrations.
- Excellent technology and communication skills
- Ability to work independently to manage time and prioritize tasks efficiently.
- Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
- The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.
- Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.
- Already hold a Life, Health, & Variable Annuity license.
The salary for this position generally ranges between $75,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program.Perks & Benefits
- 401(k) with Employer Match
- Health Insurance (with HSA option)
- Dental Insurance
- Vision Insurance
- Life Insurance
- Flexible Paid Time Off Policy
- Flexible Spending Account (FSA)
- Healthy Work/Life Balance
- Maternity/Paternity Leave Policy
- Remote Work Opportunity
At World Investment Advisors, we strive to provide a challenging, stimulating environment for the best and brightest in the industry. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and collaborative work environment. We are motivated by team camaraderie and are obsessed with doing the right thing for our plan sponsor clients and their plan participants.Team-Oriented
Professionals typically work together in teams with multiple people from different departments to meet our clients’ needs. Our junior staff works with their team members to develop the skills and knowledge to succeed and assume more senior level positions as they progress at our firm. We welcome team members from different backgrounds with different perspectives to help us innovate and make a difference for our customers and our communities.Why World?
- Great company culture with an awesome team-oriented atmosphere!
- Mentorship Opportunities
- Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)
- Professional growth opportunities
- Friendly and collaborative work environment
- Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering
World does not accept unsolicited resumes from any agencies that have not signed a mutual service agreement. All unsolicited resumes will be considered World’s property, and World will not be obligated to pay a referral fee. This includes resumes submitted directly to Hiring Managers without contacting World’s Human Resources Talent Department.
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Expected salary: $75000 - 90000 per year
Location: Santa Barbara, CA
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