What are the responsibilities and job description for the Agency Supervision Training Consultant position at Barnum Financial Group?
The Agency Supervision Training Consultant is responsible for assisting Firm in ensuring all agency trainings are completed and aligned with company policies and procedures, ethics and compliance standards and rules set forth by FINRA, SEC, and State Insurance Departments. Supports licensing and credentialing efforts at the firm level.
Duties and responsibilities
- Monitor and track requirements for Finra CE, NRF’s pertaining to all associates and advisors
- Conduct initial review and monitor CSR System and checks
- Updates Career agents in agency systems and maintains information on non-registered fingerprinted persons
- Prepare scheduled PI and DO documents for Compliance Team
- Track and monitor all registered representative for annual compliance requirement
- Offer support to firm regarding pre-training requirements for the sale of products
- Work closely with HR team to ensure all training requirements are met for New Agents
- Assist licensing team with questions, request, and / or tracking
- Maintain information on state changes and updates to regulations
- Support Compliance efforts on behalf of the firm
- Various projects as assigned
Qualifications
Education
Bachelor’s Degree
Experience
Knowledge, Skills, and Abilities
