Compliance Analyst (Fully Remote or Hybrid (Charlotte, NC))
Compliance Analyst (Fully Remote or Hybrid (Charlotte, NC))
Brighthouse Financial
Charlotte, NC
Job ID : 2f6f6942476b2f3855765255567a593434673d3d
Job Description :
Req Id: 4504
Job location: Charlotte, NC, US, 28277
Where you'll work:
Our hybrid workplace model offers the freedom to work fully remote or occasionally in one of our offices. This is a remote position with a hybrid option for candidates based in Charlotte.
How you'll contribute:
In this role, you will be responsible for supporting the Company's distribution compliance unit. Working in Broker-Dealer & Distribution Compliance, you will have the opportunity to contribute to projects that will have direct and immediate benefit to the Company's effort to manage risks associated with the oversight of sales practices and new business processing. You will collaborate with professionals in Compliance, Legal, Finance, and Distribution.
In this role, you'll get to:
We're looking for people who have:
Required Skills
Desired Skills
Research shows some people may not apply for a role if they don't check all the boxes of a job description. If you don't check every box listed, that's okay. We would love to hear from you.
What you'll receive:
Compensation - Base salary ranging from $62,000-$72,000 plus competitive performance-based incentives determined by company and individual results
Flexible Work Environment - Work fully remote or occasionally in the office to better thrive in all areas of life
Paid Time Off - Recharge with a minimum of 20 days of paid time off and 16 paid company holidays per calendar year plus paid volunteer time and paid study time
Financial Health - Work toward achieving your financial goals through our 401(k) savings plan with company match (up to 6%) and annual company nondiscretionary contribution (3%), 15% employee stock purchase plan discount, and financial counseling services
Health and Wellness - Enjoy competitive medical, vision, and dental plans plus tax-free health savings accounts with potential company contributions up to $1,000 per family
Family Support - Care for loved ones with up to 16 weeks of paid leave for new parents, back-up dependent care, dependent care flexible spending account, and reimbursement up to a $25,000 lifetime maximum during your adoption, infertility, or surrogacy journey
Life and Disability Support - Gain access to company-paid basic life insurance and short-term disability insurance.
The company and your department may occasionally gather in person throughout the year to foster a culture of belonging and promote team building. We'd love for you to join us during those company-wide and department-wide events to help you strengthen connections across the company.
Why join us?
Brighthouse Financial is on a mission to help people achieve financial security. Our company is one of the largest providers of annuities and life insurance in the U.S.,* and we specialize in products designed to help people protect what they've earned and ensure it lasts.
We empower employees to collaborate and create space for people to bring their passion to work and make an impact. Our inclusive work environment fosters a culture that celebrates diverse backgrounds and experiences. You can find out more about our company culture by visiting brighthousefinancial.com/about-us/careers/.
We're proud to be a FORTUNE® 500 company** and recognized as one of Charlotte's Healthiest Employers by the Charlotte Business Journal. We're also honored to be named to Newsweek's inaugural list of America's Most Trustworthy Companies.
Job location: Charlotte, NC, US, 28277
Where you'll work:
Our hybrid workplace model offers the freedom to work fully remote or occasionally in one of our offices. This is a remote position with a hybrid option for candidates based in Charlotte.
How you'll contribute:
In this role, you will be responsible for supporting the Company's distribution compliance unit. Working in Broker-Dealer & Distribution Compliance, you will have the opportunity to contribute to projects that will have direct and immediate benefit to the Company's effort to manage risks associated with the oversight of sales practices and new business processing. You will collaborate with professionals in Compliance, Legal, Finance, and Distribution.
In this role, you'll get to:
- Perform Form U4 and Form U5 maintenance for the Company's registered representatives.
- Oversee FINRA CE program for the Company's registered representatives and escalate delinquent renewals to management.
- Oversee employee insurance licensing program, including CE, on behalf of the Company.
- Review, approve, and maintain the FINRA-required disclosures for the Company's registered representatives.
- Perform policy, process, and/or system audits monthly, quarterly, and/or annually.
- Assist with compliance onboarding of new hires within the Distribution organization.
- Assist with new selling agreement due diligence requests.
- Assist with the review and administration of the Company's electronic communications surveillance program.
- Perform other duties as assigned or required.
We're looking for people who have:
Required Skills
- 5+ years of relevant experience in the insurance industry or in financial services performing in a capacity related to compliance, licensing and registration, or another related area of expertise.
- FINRA SIE, Series 6, and resident state insurance license or the willingness to obtain them within 12 months.
Desired Skills
- We are looking for an individual who is intellectually curious, flexible, adaptable, and centered in his or her relations with superiors and peers.
- Excellent verbal and written communication skills.
- Microsoft Office (Word, Excel, PowerPoint) competency. Advanced experience with Excel and other data analysis tools is highly preferable.
- Knowledge of regulatory requirements in financial services industry, including insurance and securities industries.
- Ability to collaborate effectively with associates at various organizational levels throughout the Company.
- Strong organizational skills and attention to detail.
- Successful record for delivering results in a timely manner.
Research shows some people may not apply for a role if they don't check all the boxes of a job description. If you don't check every box listed, that's okay. We would love to hear from you.
What you'll receive:
Compensation - Base salary ranging from $62,000-$72,000 plus competitive performance-based incentives determined by company and individual results
Flexible Work Environment - Work fully remote or occasionally in the office to better thrive in all areas of life
Paid Time Off - Recharge with a minimum of 20 days of paid time off and 16 paid company holidays per calendar year plus paid volunteer time and paid study time
Financial Health - Work toward achieving your financial goals through our 401(k) savings plan with company match (up to 6%) and annual company nondiscretionary contribution (3%), 15% employee stock purchase plan discount, and financial counseling services
Health and Wellness - Enjoy competitive medical, vision, and dental plans plus tax-free health savings accounts with potential company contributions up to $1,000 per family
Family Support - Care for loved ones with up to 16 weeks of paid leave for new parents, back-up dependent care, dependent care flexible spending account, and reimbursement up to a $25,000 lifetime maximum during your adoption, infertility, or surrogacy journey
Life and Disability Support - Gain access to company-paid basic life insurance and short-term disability insurance.
The company and your department may occasionally gather in person throughout the year to foster a culture of belonging and promote team building. We'd love for you to join us during those company-wide and department-wide events to help you strengthen connections across the company.
Why join us?
Brighthouse Financial is on a mission to help people achieve financial security. Our company is one of the largest providers of annuities and life insurance in the U.S.,* and we specialize in products designed to help people protect what they've earned and ensure it lasts.
We empower employees to collaborate and create space for people to bring their passion to work and make an impact. Our inclusive work environment fosters a culture that celebrates diverse backgrounds and experiences. You can find out more about our company culture by visiting brighthousefinancial.com/about-us/careers/.
We're proud to be a FORTUNE® 500 company** and recognized as one of Charlotte's Healthiest Employers by the Charlotte Business Journal. We're also honored to be named to Newsweek's inaugural list of America's Most Trustworthy Companies.
- Ranked by 2021 admitted assets. Best's Review®: Top 200 U.S. Life/Health Insurers. A.M. Best, 2022.
PI203725564
Company Details :
Name : Brighthouse Financial
CEO : Eric Steigerwalt
Headquarter : Charlotte, NC
Revenue : $5 to $10 billion (USD)
Size : 1001 to 5000 Employees
Type : Company - Public
Primary Industry : Insurance Carriers
Sector Name : Insurance
Year Founded : 2017
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Details
: Charlotte, NC
: 46921 - 69608 USD ANNUAL
: Today
