Sentinel Securities Compliance Officer

Sentinel Benefits Group

 

Position Summary:

 

Assist Chief Compliance Officer with all aspects of compliance for the company?s NASD registered broker-dealer and SEC registered Registered Investment Advisor.

 

Position Experience: 

 2 years general business experience.

 Position Details:

 Assist Chief Compliance Officer (CCO) with daily duties Manage state insurance licensing and renewals for all Registered Representatives and affiliatesMonitor and organize exception reports from Clearing Firm; purge reports in accordance with recordkeeping timeframeForward option trades to Options Principal for review as neededConduct monthly compliance reviews, including but not limited to check receipt audits, address change requests, employee account activity, compliance calls, etc.  Organize data room in anticipation of NASD audit; conduct internal audits or identify any gaps; Manage list of gaps identified in initial review process to ensure that action plans are carried forth by responsible parties. Work with back office to ensure that all securities-related laws are being complied with and that all gaps that were identified in the initial review process are appropriately addressedReview broker trade tickets and confirmsInterface with Registered Representatives and back office regarding compliance issues Assist with special projects/internal auditsPrepare Compliance meeting documentation Track Registered Representatives CE completionWork with CCO and marketing deparment to get NASD approval for all advertising

Company Background


Sentinel Benefits Group, Inc. employs more than 150 benefits professionals who serve more than 4000 clients throughout New England and the U.S. From our conveniently located offices in Wakefield, Massachusetts and Providence, Rhode Island, you will enjoy a team-oriented work environment. We offer extremely competitive salaries and excellent benefits. Recognized as one of the largest privately-owned benefits firms in Massachusetts, Sentinel is looking for the right people to join our professional team.

Sentinel Benefits Group provides a comprehensive range of employee benefit products and services for companies of all sizes, including retirement plan design, administration, and compliance. Other benefit services include Flexible Spending Account and COBRA administration, Group Insurance Brokerage and Advisory Services, and HR Consulting.

Life at Sentinel

Why consider working at Sentinel?  If you?re interested in building a meaningful, professional career in the employee benefits industry ? this is your opportunity to join an elite team of employee benefits professionals.  You will be working with some of the most experienced and talented people in our industry.  Recognizing and rewarding our employees is an important part of our culture ? a culture based on integrity, expertise and innovation.

Many of the people working at Sentinel have advanced degrees in Business and Law.  Others have gained professional credentials by attending after hours classes taught right here at Sentinel. You will find all of the people at Sentinel friendly and approachable.  Our culture will suit those who are enthusiastic and eager to learn.  Ask questions and you will be amazed at what your co-workers will know. 

The people of Sentinel care about this organization.  We are a company with a mission to be the best in our industry.  Being part of this company means that you are part of something special.

Sentinel Benefits offers paid vacation, free parking, 9 Holidays and 1 floating holiday, 401(k) Plan, company sponsored medical insurance, life insurance, AD&D, and short and long term disability insurance.  All benefits are subject to the terms and conditions contained in their respective documents.

Interested candidates should mail, fax or email a resume to:

Sentinel Benefits
Attn: Human Resources
601 Edgewater Drive, Suite 250
Wakefield, MA 01880

Fax: (781) 213-7381
Email: hr@sentinelbenefits.com

For further information, check us out at: www.sentinelbenefits.com