Compliance Officer - Vision Financial Group : Job Details

Vision Financial Group, a MassMutual firm, is a growing financial firm. The firm is hiring an ASO who is motivated and will provide outstanding customer experience.

The Agency Supervisory Officer holds the responsibility for completing a broad range of compliance and assigned supervisory duties pertaining to the agency's securities business conducted through MML Investors Services, LLC. ( MMLIS ). The firm maintains offices in Buffalo, Rochester, and Syracuse.

Qualifications (Skills, Education, Training, and Registrations)

Required:

• Completion of Series 7, 24, and 53 within 3 months of employment
• Bachelor's degree (A JD or CPA qualification is advantageous)
• 2 or more years of experience in the securities or life insurance industry, preferably in compliance or audit roles
• Strong interpersonal and communication skills
• Effective organizational abilities
• Participation in annual ASO training at the home office

Salary will be commensurate with experience.