Posting Date

Branch Compliance Manager

Manage the Everence compliance program for the ProEquities branch office and serve as OSJ.  

Responsibilities and duties

  1. Provide oversight and supervision for all securities activities conducted by Everence financial advisors who are securities licensed.

  2. Review and approve daily business transactions received from Everence financial advisors that are securities licensed.

  3. Manage the review and approval process for communications with the public created by Everence and registered representatives.

  4. Conduct annual office visits of financial advisors who are securities licensed and manage the other annual supervisory requirements (i.e. review and approve OBA, monitor completion of compliance agreement and compliance questionnaire).

  5. Work with managing directors to onboard new registered representatives, beginning with the licensing process and continuing through office setup, process annual renewals, and manage registered representative changes as they occur.

  6. Remain current on ProEquities product offerings in order to properly supervise sales of those products.

  7. Work with ProEquities staff to remain up-to-date on compliance requirements for registered representatives, advisors, and the OSJ.

  8. Carry out other compliance and reporting duties required of the Everence branch office by ProEquities.

Qualifications

Education: College degree preferred
Experience: Work experience in compliance or securities required
Skills:
  1. Ability to take initiative, work independently and with others

  2. Strong attention to detail

  3. Strong written and oral communication skills, including the ability to read, understand, and communicate technical information clearly and simply

  4. The ability to handle multiple projects

  5. Good customer service skills

  6. Must have requisite licensing to perform responsibilities (Series 7, 24, 66 and 51, insurance)

  7. Ability and willingness to travel up to 20 percent of time

Supervisory responsibilities:Yes
Location: Corporate Office – Goshen, Indiana

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