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    Compliance Officer - Buffalo, United States - Vision Financial Group

    Vision Financial Group
    Vision Financial Group Buffalo, United States

    4 days ago

    Default job background
    Accounting / Finance
    Description

    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 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 employment
    • Bachelor'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 roles
    • Strong interpersonal and communication skills
    • Effective organizational abilities
    • Participation in annual ASO training at the home office

    Salary will be commensurate with experience.



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