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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:
Working in an organization that is technologically advanced, creative, and innovative is critical in your assessment of hiring companies. Less important to you are stability of the organization, the length of time an organization has been in business, and the business' plans for the future. You prefer a fast-moving company that will take risks to achieve its goals and objectives. The length of time the company has been in business is irrelevant. Maintaining status quo is unnecessary. You thrive on change, uncertainty and the upside of potential business risks, especially those associated with innovation. Stability for the long haul is not nearly as important as is working in an atmosphere that is charged with a sense of urgency and constant change.
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 |
