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Post Date |
08.28.2007 |
| Classified Id |
47 |
| Title |
VP & Senior Financial Officer for Life Insurance |
| Description |
SVP - Corporate Planning and Development
Out Client is a dynamic family of diversified financial services
companies with in excess of $50+ billion in assets owned and under
management that provides life insurance, retirement planning and
investment products and services to help millions of consumers
nationwide to plan and protect their futures.
Our Client has an immediate opportunity for a VICE PRESIDENT AND SENIOR
FINANCIAL OFFICER located in the Midwest in the corporate headquarters.
This Life Insurance Co. is unique in that they not only grew up with the
industry; they were one of the original pioneers who helped create the
industry. They have a legacy of financial stability, strength,
excellence and personalized service which spans five decades - from our
inception in 1968 as one of the original financial planning
broker/dealers into the 21st century.
The VP & Senior Financial Officer is responsible for strategic direction
of the financial and accounting functions, processes and plans for the
company. Functional responsibilities include oversight for management
reporting, financial reporting, and regulatory reporting, budgeting and
forecasting.
In addition, this financial leader will establish and maintain through
direct or shared service organizations, appropriate capabilities in
support of required company financial regulatory reporting, internal
controls, cash management, disbursement, financial planning, and budget
management function as well ensure compliance with accepted accounting
principles, NASD, SEC and other regulatory requirements.
Key to success in this role will be the design and implementation of an
organizational structure and talent management plan to accomplish department goals.
Requirements:
Proven experience and knowledge with broker-dealers, investment
advisors, traditional and new industry products and pricing models.
Minimum 7 years relevant broker-dealer and RIA experience (CFO or senior
level finance role with CFO functional accountability). Experience
working with other National Financial Services correspondent
broker-dealer is highly preferred. Possesses in-depth knowledge and
experience of statutory, GAAP and SEC accounting rules and regulations.
Proven knowledge and work experience in back office operations and
successfully executing leadership functions through a shared services
structure as well as working in a matrix reporting structure.
Proven leadership ability
Excellent verbal and written communication skills
Drive for results
New World Marketing, Inc. is an elite group of senior executives, which
with over 170 years of industry experience includes a former chief
actuary, marketing, and technology experts that are unmatched in the
market today. New World Marketing, Inc. has 100 plus openings across the
United States including all disciplines for mid and upper level
management. We represent domestic and international companies with a
multitude of opportunities to include: Actuarial, Financial, Technology,
Marketing, Underwriting, Legal, and various other specialty
opportunities both on individual and group basis. NWM clients have the
added value of diverse resources and endless opportunities. We work
with Primary Insurance and Reinsurance companies concentrating on
locating high-caliber executives for Home Office and Field management.
We represent candidates under strict confidentiality and are extremely
responsive. Additionally, we will personally counsel a candidate on
individual career directions and potential opportunities
Compensation range: $140 K + Bonus
Location: Midwest
Relocation Package
Please submit resumes to rcautnwm@aol.com or fax to 858-693-4535.
Robert S. Cauthen, Jr.
CEO
New World Marketing, Inc.
1001 West Loop South
Suite 815
Houston, TX 77027
(713) 572-4158
(800) 696-2506 Toll Free
(713) 572-4571 Fax
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Post Date |
08.13.2007 |
| Classified Id |
46 |
| Title |
Compliance Specialist |
| Description |
Asset Marketing Systems (AMS) is one of the fastest growing field-marketing organizations (FMO) in the financial services industry today. With our marketing support, we have helped our Producers place more than $6 billion in fixed index annuity, life, and long*term care premium with many of the 70+ million Americans who are in or near retirement age. For more information, please visit www.assetmarketingsystems.com.
As one of Americas leading financial solutions companies, Asset Marketing Systems provides extensive product and marketing support critical to the success and growth of our Producers practice. Our success rests on taking our producers businesses to the next level. We are 100% producer focused. Simply put, that means we succeed when our
producers succeed. We would not do business any other way. Currently, we are looking for an experienced Compliance Specialist to join our Compliance Team. Under general supervision, provide professional and timely support to Vice President and the Regulatory Compliance Department by working with senior management, department heads, group managers, field producers, internal employees and external contacts.
Essential Duties and Responsibilities:
* Reviews all marketing pieces for all aspects of compliance in
a timely manner.
* Develops and monitor department procedures, filing systems, tracking/logging of all processed paperwork.
* Logs and tracks all designations and licenses of all new agents licensing with AMS into SalesLogix.
* Develops and maintains Compliance Operations manual to ensure effective and efficient proofing of marketing pieces.
* Works with V.P. and outside counsel in relation to the IP audit.
* Presents to the Marketing Department to inform them of updates or procedures which need to be enforced or reinforced.
* Manages the reporting and tracking of Trademarks and Copyrights.
* Reviews the Compliance Auditor e-mail system daily to ensure that AMS employees are maintaining compliant behavior in respect to e-mails.
* Addresses employees in regard to non-compliant e-mails and how they can correct the action.
* Meets with all new employees to capture their designations, such as insurance license, and to introduce them to the Compliance process.
* Organizes NASD letters and materials.
* Coordinates with carriers to process all marketing pieces for review in a timely manner.
* Other duties as assigned.
Qualifications:
* Bachelors Degree in Finance, Business Administration or equivalent education and experience.
* Series 6 and/ or 7 Licenses required.
* A minimum 5-7 years experience in insurance, securities, financial planning and/or directly related field(s).
* Strong understanding and application of regulations in the financial industry.
* Excellent verbal and written communication skills.
* Capacity to work independently while recognizing and responding to work priorities in a timely manner. Ability to assess when to engage the Chief Compliance Officer for decision and direction.
* Ability to work with external and internal contacts throughout all levels of the organization.
* Ability to appropriately and professionally handle confidential information
* Excellent problem solving, analytical, and multi-tasking skills.
* Project management skills.
* Ability to recognize and execute priorities while working in a highly regulated, fast-paced environment.
* Ability to make recommendations for improvements and implement changes.
* Proficiency in Microsoft Office, database and Internet experience.
Our employees enjoy a comprehensive benefits package that includes medical/dental/vision/life/disability insurance, paid time off, and a 401(k) plan that includes a Company match.
Contact Information to Apply
We are an equal opportunity employer. Interested candidates should submit their resume to: careers@assetmarketingsystems.net or fax to 858-693-4535.
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Post Date |
07.05.2007 |
| Classified Id |
45 |
| Title |
Compliance Analyst |
| Description |
Madison Avenue Securities (MAS) is a wholly owned subsidiary broker dealer. MAS emphasizes market-proven brand and
practice building through product education, competitive payouts, and
impeccable service, to provide registered representatives with an
unparalleled broker dealer relationship. For more information, please
visit MadisonAvenueSEC.com.
MAS embodies the same foundation and values as its parent company Asset Marketing Systems. Asset Marketing Systems (AMS) is one of the fastest
growing field-marketing organizations (FMO) in the financial services industry today. With our marketing support, we have helped our Producers
place more than $6 billion in fixed index annuity, life, and long-term care premium with many of the 70+ million Americans who are in or near
retirement age. For more information, please visit
AssetMarketingSystems.com
As one of leading financial solutions companies in America, Asset Marketing Systems provides extensive product and marketing support
critical to the success and growth of our Producers practice. Our success rests on taking our producers businesses to the next level. We
are 100% producer focused. Simply put, that means we succeed when our producers succeed. We would not do business any other way.
Currently, we are looking for an experienced Compliance Associate to join our Compliance Team at our Broker Dealer Office.
Under limited supervision, supports Compliance Department by facilitating compliance functions to ensure compliance with NASD,
federal and state regulations as they apply to both field and home office.
Essential Duties and Responsibilities:
* Conducts branch office examinations and review branch
examinations conducted by other principals and consultants, when
engaged.
* Maintains relationship with managers and representatives and
explains broker-dealer related policies and procedures to supervising
principals, registered representatives, and home office personnel to
ensure compliance with MAS, MAA, NASD, SEC and state securities,
insurance, and investment advisory rules and regulations.
* Researches new developments and rulings on NASD, SEC and state
regulations and communicate important issues to the field force.
* Assists in developing and administering training and annual
compliance meeting for registered representatives, OSJ
managers/supervising principals.
* Provides principal oversight and review of representatives
outside business activities to ensure compliance and discusses possible
conflicts and rule infractions with representatives and managers and
determines additional course of action, if necessary.
* Investigates and resolves complaints (customer, state insurance
departments, NASD, SEC, etc.).
* Provide principal oversight and review of representatives
personal trades, to include maintaining the 3050 letter database and
files and determining additional course of action, if necessary, for
suspect transactions.
* Provide principal review and approval of representative business
cards, letterhead, advertising, sales literature, seminar materials, and
Internet/web site pages to ensure compliance with MAS, MAA, NASD, SEC
and state securities, insurance, and investment advisory regulations.
* Uses Internet and World Wide Web to scan for possible
advertising violations by representatives.
* Provides general administrative support to the Compliance
Department.
* Assists with representative transition.
* Must be able to travel approximately 50% of the time.
* Other duties as assigned.
Qualifications:
* Bachelors degree or equivalent work experience
* Three (3) to (5) years experience in insurance, securities,
investment advisory, financial planning, banking and/or other related
industry.
* Life Insurance License and series 7, 24, 63 and 65/66 required.
* Ability to work independently, with confidential information,
prioritize, multi-task, and interact with all levels of internal and
external contacts.
* Excellent analytical and problem-solving skills.
* Legal research skills.
* Above average oral and written communication skills.
* Strong organizational skills.
* Computer literate to include MS Office.
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