The Senior Compliance Analyst will play a pivotal role in ensuring compliance within our organization, focusing on advertising compliance, audit support, and customer complaint investigation. This position requires keen analytical skills, attention to detail, and excellent communication abilities to produce compliance reports and recommendations.

The Insurance Supervision Analyst is responsible for conducting pre/post-sale business reviews of independent insurance agents affiliated with World Financial Group Insurance Agency (WFGIA). They review client files, track findings, detect and mitigate company risk, conduct branch audits, and provide training to ensure adherence to policies and regulatory requirements.

The Registration Administrator will provide administrative support to a national sales force distributing financial service products, focusing on mutual fund registrations. Responsibilities include processing license applications, maintaining registration records, and responding to inquiries from internal and external stakeholders.