Entry Level Compliance Support Job at KellyMitchell Group, White Plains, NY

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  • KellyMitchell Group
  • White Plains, NY

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.

Job Tags

Work at office, Local area,

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