Compliance Officer
📋 Role Overview & Responsibilities
Vision Financial Group, a MassMutual firm, is a growing financial firm. The firm is hiring an ASO who is motivated and will provide outstanding customer experience. The position can be in our Buffalo or Rochester offices.
The Agency Supervisory Officer holds the responsibility for completing a broad range of compliance and assigned supervisory duties pertaining to the agency's securities business conducted through MML Investors Services, LLC. ("MMLIS"). The firm maintains offices in Buffalo, Rochester, and Syracuse.
Qualifications (Skills, Education, Training, and Registrations)
Required:Completion of Series 7, 24, and 53 within 3 months of employmentBachelor's degree (A JD or CPA qualification is advantageous)2 or more years of experience in the securities or life insurance industry, preferably in compliance or audit rolesStrong interpersonal and communication skillsEffective organizational abilitiesParticipation in annual ASO training at the home office
Salary will be commensurate with experience.
Frequently Asked Questions
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This position is located in Buffalo, NY with potential relocation and sponsorship assistance depending on candidate qualifications.
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