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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:
A hiring company that offers alternative approaches to pay, performance bonuses, and/or equity in the firm is very attractive to you. You're generally less interested in working for an organization offering only traditional, salary-based compensation, one with limited opportunity to acquire equity in the firm, or one that does not actively promote skill development. In addition, you are more likely to choose a company that offers a variety of internal career options, with defined career paths. You view the learning of new skills and development of your expertise as key to your career advancement. These aspects of an organization may become even more important to you as you progress in your field, and are especially critical if you change career or occupation.
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 |
