Practice Management Operations, Senior Specialist
Core
Evaluate short and long-term staff incentive compensation plans, provide feedback to Financial Advisors, and ensure compliance with federal, state, and product regulatory requirements for insurance, investment brokerage, and advisory compensation.
Role type
Senior IC compliance specialist (practice management operations)
Builds
Staff incentive compensation plans and audit artifacts
Domain
Financial services (insurance, investment brokerage, advisory)
Required skills
FINRA Series 6 & 26 registration, insurance/investment/financial services industry experience, audit and evidence collection, conflict of interest identification, regulatory compliance knowledge, Microsoft Excel proficiency
Preferred skills
Compliance or contract licensing experience, policy and procedure management, stakeholder education and training
Technologies
Microsoft Office (Excel)
Responsibilities
Review, approve, and audit staff compensation incentive plans; formulate recommendations balancing competing interests; identify and escalate conflicts of interest; conduct audits and collect payment artifacts; educate and train enterprise stakeholders; lead continuous improvement projects
Seniority
Senior, hands-on IC
