World Insurance Associates LLC
World Insurance Associates LLC is a comprehensive insurance agency offering both business and personal insurance products. They provide a wide range of services, including commercial insurance, personal insurance such as auto, home, and life insurance, as well as benefits and HR financial services like retirement and estate planning. The company serves various industries including construction, healthcare, hospitality, and transportation, ensuring tailored solutions for each sector. With a focus on personalized customer service, World Insurance Associates prioritizes protecting people and businesses with premium products and extensive industry knowledge. They also offer expert guidance, making it easier for clients to manage and protect their assets effectively.
Trucking & Transportation Insurance • Restaurant & Bar Insurance • Personal Lines Insurance • Business Insurance • Group Benefits
Compliance Specialist
April 12
World Insurance Associates LLC
World Insurance Associates LLC is a comprehensive insurance agency offering both business and personal insurance products. They provide a wide range of services, including commercial insurance, personal insurance such as auto, home, and life insurance, as well as benefits and HR financial services like retirement and estate planning. The company serves various industries including construction, healthcare, hospitality, and transportation, ensuring tailored solutions for each sector. With a focus on personalized customer service, World Insurance Associates prioritizes protecting people and businesses with premium products and extensive industry knowledge. They also offer expert guidance, making it easier for clients to manage and protect their assets effectively.
Trucking & Transportation Insurance • Restaurant & Bar Insurance • Personal Lines Insurance • Business Insurance • Group Benefits
📋 Description
• Seeking a Compliance Specialist to support the firm’s Compliance Program. • Report to Manager-Compliance Operations. • Develop and manage a Compliance Department activity reporting system. • Represent the compliance department in resolving issues involving new accounts. • Monitor general department email inboxes for timely response. • Provide support, education, and guidance to Financial Representatives. • Assist management with various projects and testing. • Other duties as assigned.
🎯 Requirements
• Bachelor’s degree (B.A./B.S.) in a related discipline required. • Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments. • Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire). • Strong working knowledge of brokerage and investment advisory business concerning the regulatory framework. • Deep understanding of industry rules governing supervision, suitability, and registrations. • Excellent technology and communication skills. • Ability to work independently to manage time and prioritize tasks efficiently. • Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance. • Desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.
🏖️ Benefits
• 401(k) with Employer Match • Health Insurance (with HSA option) • Dental Insurance • Vision Insurance • Life Insurance • Flexible Paid Time Off Policy • Flexible Spending Account (FSA) • Healthy Work/Life Balance • Maternity/Paternity Leave Policy • Remote Work Opportunity • Stimulating Environment
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