Entry Level Compliance Support

Job Title: Entry Level Compliance Support
Location: White Plains, NY
Duration: 5 months, subject to renewal
Work Schedule: Hybrid - Remote Mondays and Fridays; Onsite Tuesdays through Thursdays
Summary
The Project Coordinator supports the Agent Disciplinary Action and Enhanced Supervision programs by managing documentation, coordinating with stakeholders, and ensuring timely resolution of compliance cases. This role is essential in monitoring agent communications, identifying and escalating concerns, and ensuring branch offices adhere to supervision protocols. The coordinator also contributes to reporting, trend analysis, and supports other compliance functions such as Ethics Point and Enhanced Underwriting.
Key Responsibilities
• Review and manage documentation related to disciplinary and supervision cases
• Monitor agent communications and escalate concerns appropriately
• Ensure branch offices comply with supervision workflows
• Support reporting and trend analysis for compliance programs
• Assist with Ethics Point and Enhanced Underwriting processes
• Coordinate with internal stakeholders and maintain professional communication
• Work within disciplinary action systems and manage related email communications
• Must-Have Qualifications
• Strong analytical, investigative, and organizational skills
• Excellent written and verbal communication
• Proficiency in Microsoft Word and Excel (basic Excel required)
• Bachelor's degree in business or related field
• 1-4 years of experience in insurance/securities compliance or operations
• Entry-level candidates with strong business or accounting understanding encouraged to apply
• Preferred Qualifications
• Series 6 or 7 license or insurance designations
• Knowledge of life insurance, annuities, and mutual funds
• Familiarity with compliance reporting and supervision workflows
Team & Culture
• Team of 5: 3 CVPs and 2 Senior Associates
• Professional, self-starting, and confident communicators thrive here
• Collaborative and compliance-focused environment
Interview Process
• Zoom interviews (video format)
• Resume review and feedback turnaround within a few days
• Interviews can be scheduled within days of resume submission