Analyst, Regulatory Supervision

Where

Roseland, NJ

What you'll be doing

Assisting in the creation, revision, and communication of procedures and other tools to reinforce compliance in distribution for compliance related topics. Maintaining compliance tracking spreadsheets. Providing training, as necessary to ensure proper understanding and utilization of compliance procedures. Responsibility for reviewing expense vouchers for distribution. Implementing compliance oversight procedures with minimal supervision/direction. Responding to inquiries regarding monitoring procedures and other compliance related topics. Escalating issues, as appropriate, and providing periodic updates, trends and recommendations. Documenting business requirements to be used for systems development in order to ensure compliance with regulatory requirements and user requested enhancements.

What your background should be

Experience of 1-2 years with the following would be beneficial: developing processes and tools to support the business, including writing procedures; monitoring and trending data; interaction with distribution associates; and delivery of unpopular information. Strong project management skills. Ability to work individually and demonstrate drive, persistence, and personal ownership of assignments. Ability to work in teams and actively participate in making decisions and show problem-solving capabilities. Ability to exercise judgment and discretion in resolving problems/issues. Proficiency in Excel, Word, and PowerPoint.

Required Schooling / Training

Bachelor degree preferred.

Who is the client company

This company offers Life Insurance, Annuities, Mutual Funds, Group Insurance, Retirement Services, Investment Management, and other financial services.

If you are interested in this position, send your resume to apply@kochdavis.com