Entry Level Compliance Support

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 :

Benefits :

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.