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Entry Level Compliance Support
Entry Level Compliance SupportKellyMitchell Group • White Plains, NY, US
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Entry Level Compliance Support

Entry Level Compliance Support

KellyMitchell Group • White Plains, NY, US
[job_card.30_days_ago]
[job_preview.job_type]
  • [job_card.full_time]
[job_card.job_description]

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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