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For your reference, we have included the original job posting below.
Field Supervision Specialist
Job Number:
36766802
Company Name:
National Financial Legacy Group part of Penn Mutual
Job Location:
Hunt Valley, MD US
Job Categories:
Accounting & Finance Insurance
Minimum Education:
Some College
Field Supervision Specialist
National Financial Legacy Group, a leading financial services firm located in Hunt Valley, Maryland is seeking a full-time Field Supervision Specialist responsible for the compliance functions of the Field Office.
Job Responsibilities: * Reviewing new accounts and trading activity * Performing suitability reviews for purchases * Reviewing correspondence, business cards and stationery * Maintenance of required supervisory logs * Communicate and provide education on company policies and procedures * Trading and operations, and FINRA/SEC rules and regulations * Maintain complaint logs and inquiries to Home Office for response and resolution * Conduct on-site and off-site producer/branch office reviews * Help producers with requests/assistance involving maintenance and new accounts
Requirements:
Requirements: * A minimum of 3 years experience needed with either a college degree or equivalent industry experience * Working knowledge and understanding of rules and regulations related to securities and insurance business * FINRA Series 7 and 24 * Life insurance license preferred
The ideal candidate will have strong customer and producer service orientation, ability to focus on building strong relationships, and extreme attention to detail. Full benefits package include medical, dental, vision, life and 401k plan.
*Securities and investment advisory services offered through Hornor, Townsend & Kent, Inc., Registered Investment Advisor, member FINRA/SIPC, 307 International Circle, Suite 100, Hunt Valley, MD 21030. National Financial Legacy Group is independent of Hornor, Townsend & Kent, Inc.
