MUST LIVE IN CHARLOTTE. Four days per week in office | 1 day remote.

ONLY APPLICANTS HOLDING AN ACTIVE SERIES 7, 24 & 63 WILL BE CONSIDERED.

This position is a great entry point for applicants who are interested in a career in compliance.

Are you someone who wants to work with a leadership team who believes in you and invests in your development and career growth? Do you want to be surrounded by people passionate about doing a great job and having fun as a team? Do you want to work for a company that believes in and lives their core values? If this sounds like you, we have an opportunity for an Associate Agency Supervisory Officer to join our growing team!

What We Do

The Pelora Group is committed to helping families, business owners, executives, and employees make good decisions when it comes to Financial Planning.

Our Culture

We have the innovative culture of a startup, but with the esteemed legacy and stability of an established company. MassMutual was founded in 1851. The Pelora Group, a General Agency of MassMutual, is a financial services firm with offices throughout the Carolinas.

Overview

The Associate Agency Supervisory Officer will be part of a team responsible for monitoring and adhering to all Company and Regulatory rules and regulations. This individual will work closely with the Supervisory Team to ensure all processes and procedures are being followed and to maintain a culture of compliance and integrity. This position reports to the Agency Supervisory Officer and is classified as an exempt level employee.

Responsibilities

Conduct email and social media review and work with Advisors on corrective actions as necessary
Conduct Personal Interviews and Detached Office reviews
Develop and implement supervisory-related training as needed
Review and submission of advertising materials and act as a liaison between the Home Office and the Advisor
Assist in the processing of securities related New Business
Review and approval of Advisor/Agency seminars and events
Ensure that all required agency records are maintained in accordance with Company policy
Respond to questions from Advisors and Agency Associates regarding compliance issues and Company policies
Conduct client file reviews and monitor incoming and outgoing correspondence
Special Projects

Qualifications/Skills/Competencies

Series 24 license REQUIRED UPON HIRE
Series 7 REQUIRED UPON HIRE
Series 63 REQUIRED UPON HIRE
Series 52 & 53 (Municipal Securities Principal) at the time of hire or REQUIRED TO OBTAIN POST HIRE (w/in 12 months of hire)
No material disciplinary history
Excellent written and verbal communication skills
Strong attention to detail
Ability to work in a fast-paced environment
Handle multiple priorities in a constantly changing environment

What We Offer You

A supportive and dynamic culture committed to its core values
Opportunities to grow and develop
Base salary commensurate with experience and bonus program
Benefits including medical, dental, vision and 401(k) Savings Plan.
Competitive vacation/PTO program

Ready to take the Next Step? If this sounds like you, we would love to hear from you!

Balance | Growth | Authenticity | Conviction | Stewardship

Job Type: Full-time

Pay: $75,000.00 - $85,000.00 per year

Benefits:

401(k)
Dental insurance
Employee assistance program
Health insurance
Paid time off
Professional development assistance
Vision insurance

Schedule:

8 hour shift

Experience:

Compliance management: 2 years (Required)

License/Certification:

Series 24 (Required)
Series 63 (Required)
Series 7 (Required)

Ability to Relocate:

Charlotte, NC 28209: Relocate before starting work (Required)

Work Location: Hybrid remote in Charlotte, NC 28209

The Pelora Group (an office of MassMutual) jobs

Compliance Officer