There were plenty of rumors, has anything been confirmed?
5 replies (most recent on top)
I hope that Favors is one of them. Why is she still here making a half million dollars a year?
yes. there has now been confirmation. Please stand by.
Funny you ask. I heard there are whispers that several EVPs, VPs, and RVP, & IT could be on the chopping block & potentially others could very well be on their way out eventually.
@bg $190K ! wow ! i want to transfer out from morronarit's team
@OP Is that water damage ? Yes ! it is water damage Mike. You axed. See below:
Lead Compliance, Broker / Dealer
Mutual of America
Boca Raton, FL • On-site
$107,900K - $190,080K/yr
Full-time. Remote. Work from Toilet
Medical, Dental, Vision, Retirement, PTO
Posted 15 days ago
Job description
Mutual of America Financial Group
Job Title: Lead Compliance, Broker / Dealer
Location: Boca Raton, FL (hybrid)
Who We Are:
At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals. We work diligently to understand the needs of our customers so we can help them achieve their retirement savings goals.
We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.
Role Summary:
Mutual of America's Compliance Department is seeking a Lead, Compliance with direct or related experience in broker/dealer compliance to assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary. In this role, you will contribute to the success of the compliance program and will have the opportunity to work closely with the management of the broker/dealer.
Responsibilities:
Work with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
Assist the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
Manage and conduct branch office inspections, including implementation of remediation plans.
Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
Assist with the review of employee-related compliance requests, and escalate to department leadership, as necessary
Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
Assist with drafting annual training materials and provide in-person or virtual live training to registered personnel on relevant topics
Assist with regulatory inquiries and help prepare responses under tight deadlines
Manage the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
Perform reviews of registered representatives' electronic communications, maintain the electronic communications supervision system's configuration, and perform efficacy reviews of the system's supervision rules on a quarterly basis, suggesting improvements and refinements
Actively promote compliance awareness among sales and service personnel
Required Qualifications:
Bachelor's degree
Knowledge of FINRA and SEC rules applicable to broker/dealers
FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
3-5 years of experience in broker/dealer compliance or a related role
Meticulous attention to detail
Highly motivated self-starter with a desire to work in a faced -aced environment
Strong written and or-l communication skills
Strong interpersonal skills with the ability to collaborate with various business units at all levels
Ability to organize and prioritize workflow and assignments
Ability to exercise discretion and maintain the highest level of confidentiality
Advanced proficiency in Microsoft Excel, Word, and PowerPoint.
What we offer you:
Competitive base salary
Annual Bonus
Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment
401(k) Match: 100% Employer Match on up to 6% of employee contributions (Salary and Incentive Comp)
Parental Leave: 8 weeks fully paid
Paid time off: 20 days plus two floating personal holidays
The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.
Base Salary Range: $97,900 - $146,800
Visit www.mutualofamerica.com/careers for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica
Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, s-x, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, s-xual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.
Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
Report
About Mutual of America
Sourced by ZipRecruiter
Industry
Insurance services
Company size
1,001 - 5,000 Employees
Headquarters location
New York, NY, US
Year founded
1945
Website
mutualofamerica.com