Compliance Specialist

Job description

JOB SUMMARY: The Compliance Specialist is responsible for managing day-to-day compliance tasks for Valmark's independent Member Offices and handling general compliance inquiries, both internal and external. This role provides expertise in compliance areas through various activities such as branch inspections, policy and procedure updates, reviewing and approving advertising submissions, email and correspondence reviews, exception reports, and procedure testing. ESSENTIAL FUNCTIONS AND RESPONSIBILITIES: 1. Inquiry Response and Collaboration 2. Correspondence and Advertising Review 3. Report Review and Brokerage Account Oversight 4. Compliance Testing and Branch Exams 5. Exam Schedule and Regulatory Exams 6. Manual Updates and Risk-Based Reviews - Respond to a wide range of internal and external inquiries related to the primary lines of business. - Collaborate with assigned supervisors and Member Offices, offering insights and conducting training as needed. - Review Registered Representative ("RR") incoming and outgoing customer correspondence, email, and social media posts. - Review and approve advertising and compliance submissions. - Review assigned Direct Business, Brokerage, and...