Summary
The consultant will support the team supervising a wide range of agent activities, with primary focus on electronic communications including social media. This role is essential in monitoring agent communications, as it will assist in applying new risk-based criteria to social media content to ensure increased scrutiny, particularly of posts that include pictures and video content.
The consultant will also contribute to other supervisory functions, which may include work with fiduciary requests, the email opt-out process, disconnected social media profiles, and several other functions the team supports.
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Key Responsibilities
Assist with supervisory responsibilities related to electronic communications review, with a primary focus on social media supervision
Utilize multiple internal systems, third-party vendor platforms, and ChatGPT to support communications surveillance activities
Run and analyze electronic communications reports, including leveraging GPT tools to assist with data review and categorization
Assess communications to distinguish business vs. non-business content and route business-related communications for Registered Principal review
Support additional supervisory and compliance functions as assigned, requiring rapid learning of internal policies and industry regulations (insurance and Client)
Navigate multiple systems simultaneously while managing competing priorities and deadlines
Collaborate closely with Compliance, Supervision, and other internal stakeholders on an ongoing basis
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Must Have Skills / Experience (Non Negotiable)
From intake call:
Comfort navigating new systems
Interpersonal skills working with multiple people on the team, speaking up in meetings
Insurance/Securities industry experience
Technically savvy / familiarity with content creation (Instagram)
Comfortable "living and working in the grey with strategic regulatory goals in mind
Additional required qualifications from the formal description:
Strong analytical skills with the ability to review, interpret, and assess electronic communications
Excellent verbal and written communication skills
Strong organizational skills and ability to manage concurrent work items
Ability to work independently and collaboratively
Demonstrated strong work ethic and high attention to detail
Proficiency with Microsoft Word and Excel
Comfort using ChatGPT or similar AI tools
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Preferred Qualifications
Prior insurance and/or securities industry experience (compliance, supervision, operations)
Client Series 6 or 7, or insurance-related designation
Knowledge of Life Insurance, Fixed & Variable Annuities, Mutual Funds
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