Compliance Specialist - Dispute Resolution Unit

Education Level: Associate Degree Company: Jackson National Life Insurance Company Address: Santa Monica, CA 90401 Compliance Specialist - Dispute Resolution Unit Job Summary: National Planning Corporation (NPC) www.natplan.com currently has an opening for a Compliance Specialist for its Dispute Resolution Unit (DRU) located in Santa Monica, CA.  NPC is a full-service Broker-Dealer and Registered Investment Adviser serving independent representatives nationwide.  The ideal candidate will enjoy working autonomously as well as with teams and will like the challenge of leading various projects for the Compliance Department.   Responsibilities & Duties: · Correspond with clients, representatives, product sponsors, inside/outside counsel, and senior management in resolving disputes· Gather documentation from various sources in responding to customer complaints, regulatory inquiries, client/counsel requests and FINRA / AAA arbitrations· Work with senior management in analyzing the merits of complaints· Assist in the tracking of customer complaints and regulatory inquiries· Prepare audit preparation reports for use by auditors· Prepare and submit quarterly Rule 3070 filings with FINRA· Assist the Compliance Department with miscellaneous projects as needed Position Requirements: · FINRA Series 7 is required· FINRA Series 24 and 53 are required within 60 days of hire· High attention to detail in all aspects of your work Minimum Education and Experience: · Bachelor’s degree is strongly preferred, Associate’s required.· Financial services experience is highly preferred· Prior broker-dealer compliance experience preferred· Prior work experience that required excellent communication skills· Prior work experience that reflected the ability to handle projects with minimal supervision· Prior experience with using computer applications such as Microsoft Word, Excel, and Access