Job Description

LegalRisk - Compliance Analyst
Job Number: 21-06678
 
Find your next opportunity in the Financial Services Industry. Eclaro is looking for a LegalRisk - Compliance Analyst for our client in Walnut Creek, CA.
 
Eclaro's client is one of the largest mutual life insurance companies and provides long-term care insurance, mutual funds and retirement-plan services across the US.  If you’re up to the challenge, then take a chance at this rewarding opportunity!
 
Position Overview:
  • This is an administrative role so person would be updating records, adding documents to company systems, following up with personnel to acquire necessary items, etc. "SPA is our proprietary tracking system for supervisory interviews with our field force.
 
Responsibilities:
  • Administrative Day Calendar (by 2-3 months)
  • ASM Calendars/Teams Appts
  • Agent Staff/GO Updates
  • Complaint Logs
  • GO Location/Form BR Updates
  • Monitor Annual CBTs/Reqs
  • Navex Report
  • Outstanding SII Findings
  • Outstanding SII (Signatures, ASC Review)
  • Registered Representative ASQ (New RRs)
  • SII Reports/Planning Tool
  • SMRU/Seminar Log
  • Books & Records Supervisory Files: Assist with maintenance/accuracy of Supervision folders & SPA File Cabinet items
  • Close Out SII Findings - Low Risk i.e. 407, BC/LH Waiver, Hearsay/internet, ECPS updates, OBAs, etc.: Items received INGO for applicable category, will be added to corresponding open finding and closed out in SPA
  • Creating Client Letters (BLG/ES): As needed when asked will create letters to be sent to clients
  • ECPS Red Flag Report: Report with Red Flag actionable items from ECPS, assist with tracking & due dates
  • Expense Reporting: As needed, process expenses for ASM in the department
  • Fiduciary Requests: Assist w/gathering or logging Fiduciary submission or removing an existing one
  • Handling Complaints: As received will track/log all pertinent information on the corresponding Complaint Log (Registered/Non-registered)
  • Hearsay                : Monthly report on actionable Hearsay items
  • Logging New RRs: As received, add new RRs to spreadsheet and work in correlation with GO on tracking completion of requirements
  • Navex Disciplinary Action Updates: As disciplinary actions are created will assist with logging/uploading pertinent information in Navex
  • Other Admin needs of Dept: Ad-hoc Admin tasks
  • Outgoing Correspondence: Filing of the outgoing correspondence once it is reviewed by an ASM
  • Outstanding Deficiencies/Signatures/ASC Review: Review reports with CVP/ASM
  • Scanning docs to SPA: As needed, will scan misc. docs to corresponding agent SPA file
  • Seminar Logs: Ensure all pertinent info (notices/SMRU/logs) is received and captured on Seminar Logs. Complete follow up on missing requirements/items as needed
  • SII & SPA Prep: Assist with scheduling/email announcement; SPA package/upload attachments, etc.
 
If hired, you will enjoy the following Eclaro Benefits:
  • 401k Retirement Savings Plan administered by Merrill Lynch
  • Commuter Check Pretax Commuter Benefits
  • Eligibility to purchase Medical, Dental & Vision Insurance through Eclaro
 
If interested, you may contact:
Melissa Francisco
Melissa.Francisco@eclaro.com
6468495125
Melissa Francisco | LinkedIn
 
Equal Opportunity Employer:
Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

 

Application Instructions

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