Position Overview

Compliance Principal

Vision Financial Group, a MassMutual firm, is a growing financial firm.  The firm is hiring a Compliance Principal who is motivated and will provide outstanding customer experience.

This position is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business through MML, Investors Services, LLC. (“MMLIS”).

Projects include support with:

Inspections and Monitoring: 
  • Conduct inspections of district offices and registered detached office locations. Create and maintain all required documentation.
  • Notify Head of Risk of material deficiencies identified and develop written action plans to address such production, activity, and exception reports.
Client File Review:
  • Conduct client file reviews and create and maintain all required documentation of reviews.
Producer Interviews:
  • Incumbent shall conduct producer interviews as required by the Manual and as otherwise directed by the Head of Risk.
  • Incumbent shall notify the Head of Risk of any deficiencies identified during such interview and develop written plans to address such deficiencies.
Email and Social Media Review: 
  •  Responsible for conducting daily reviews of Firm emails and Social Media accounts through approved Compliance systems.
Financial Plans: 
  • Responsible for the administration, review, approval, and record keeping of Financial Plans submitted by Advisors to Compliance for approval and delivery to clients.

Requirements:

  • Strong ability to identify efforts that will improve firm efficiency.
  • Must have knowledge and experience to anticipate, identify and resolve problems.
  • Must possess self-motivation and organizational skills.
  • Management or supervisor experience a plus
  • Licensing Requirements: Series 7, Series 24 and Series 63
Join Our Team
Two people talk in image shaped like the Vision Financial Group logo

Join Our Team

Use this form to apply to Vision Financial Group.

"*" indicates required fields

To apply, please email your resume to tdileo@vfgnys.com

This field is for validation purposes and should be left unchanged.


Return to Job Listings