Job Description

Job Summary:

Our client is seeking an Entry Level Compliance Support to join their team! This position is located in White Plains, New York.

Duties:

• Review and maintain documentation for disciplinary and supervision cases, ensuring accuracy and confidentiality
• Monitor agent communications and escalate potential compliance or conduct issues as appropriate
• Ensure branch offices adhere to established supervision and compliance workflows
• Support compliance reporting, data tracking, and trend analysis to identify areas of improvement
• Assist in managing Ethics Point submissions and Enhanced Underwriting review processes
• Coordinate with internal stakeholders and maintain timely, professional communication
• Utilize disciplinary action systems and manage related correspondence and documentation efficiently

Desired Skills/Experience:

• Bachelor’s degree in Business, Accounting, or a related field
• 1+ years of experience in insurance, securities compliance, or operational support preferred
• Strong analytical, investigative, and organizational abilities
• Excellent written and verbal communication skills
• Proficient in Microsoft Office Suite

Benefits:

• Medical, Dental, & Vision Insurance Plans
• Employee-Owned Profit Sharing (ESOP)
• 401K offered

The approximate pay range for this position is between $18.00 and $26.00 . Please note that the pay range provided is a good faith estimate. Final compensation may vary based on factors including but not limited to background, knowledge, skills, and location. We comply with local wage minimums.

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