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New England Financial Work Values
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Daily Duties at New England Financial:
Review and approve home office produced and agency produced sales materials, correspondence, and advertisements to ensure compliance with SEC and NASD rules and regulations. Provide continuous and ongoing information, advice and assistance to the field on supervisory responsibilities, sales materials, and all related compliance issues. Work on various projects from interpreting and implementing NASD notice to member 98-11 to the construction of compliance systems manuals. • Research, resolve, and respond to regulatory inquires and represent the company at regulatory investigations, legal proceedings, and industry meetings. • Conduct audits of offices/OSJ/branches to ensure compliance with the rules and regulations of New England Financial/SEC/NASD. • Review, surveillance, and monitoring of mutual fund account establishment and trading activity and determine product/customer suitability as required by the NASD. • Served as an additional resource for investment advisor regulatory filings (Forms ADV, 13F, D, & G)
What they like about New England Financial:
The social vibrance of a hiring firm is very important to you. Your ability to make and maintain friendships there is a critical part of your decision. You would likely be dissatisfied with a workplace that is quiet, cold, or otherwise not particularly social. When you investigate a new hiring company, ask recruiters, managers, and potential co-workers about the social life and opportunities there. This is especially important when you are relocating; moving dramatically alters your social sphere both inside and outside the workplace.
Tags
Compliance, securities, investment advisor, FINRA, SEC, fraud
Information about New England Financial
Company Rank: Not Available
Average length of employment : 2 years
Average salary of employees: $112,500
These are some of the questions we asked our climbers about their experiences with New England Financial:
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| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
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| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
