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

eFFDSnFXWjRYQ3dXQUUrVFZzaVpmNnpI
  • 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,

Similar Jobs

NTT DATA, Inc.

IAM Okta Job at NTT DATA, Inc.

 ...If you want to be part of an inclusive, adaptable, and forward-thinking organization, apply now. We are currently seeking a IAM Okta to join our team in Hyderabad, Telangana (IN-TG), India (IN). Required Skills and Experience Candidate must have 7-9 years of... 

Kaiser Permanente

Mail Delivery Assistant III Job at Kaiser Permanente

 ...ABLE TO LIFT 50 LBS Job Summary:Sort, pick-up and deliver paper-based communications, including postal, inter-office and private carrier mail.Essential Responsibilities:+ Receive, sort and deliver incoming and outgoing postal and inter-office mail. Prepare private... 

Greenwood Industries

Safety Manager Job at Greenwood Industries

 ...Greenwood Industries is looking to hire an experienced Safety Manager covering Eastern New York . The Safety Manager's responsibilities...  ...safety and health training programs Manages project security contracts, programs, and policies Performs record keeping... 

Prospera Executive

Chief Financial Officer Job at Prospera Executive

 ...Prospera Executive have been mandated to find a CFO for a national provider of commercial roofing and restoration services to partner with the CEO and private equity sponsor in leading the next phase of growth and professionalization. The business has grown from a regional... 

ScionHealth

Certified Dialysis Technician Job at ScionHealth

 ...culture by living our values in our day-to-day interactions with our patients and teammates. Job Summary ~ The Certified Dialysis Technician position provides acute hemodialysis treatment for hospitalized dialysis patients in licensed acute hospitals or sub-acute...