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Jefferson Pilot Securities Work Values
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Daily Duties at Jefferson Pilot Securities:
Research and understand new and proposed securities related law/regulation. Inform and train Jefferson Pilot Securities personnel of regulatory and applicable policy changes. Work closely with the legal department with pending arbitration and lawsuits. • Responsible for complaint (regulatory and customer) tracking and resolution including amending U-4's and U-5's. • Responsible for NASD 3070 complaint filings and updates. • Update and amend the corporate compliance manual, procedures manual, and selling agreements/contracts. • Conduct audits of offices/OSJ/branches to ensure compliance with the rules and regulations of Jefferson Pilot Securities/SEC/NASD. • Served as an additional resource for investment advisor regulatory filings (Forms ADV, 13F, D, & G)
What they like about Jefferson Pilot Securities:
You highly value a work environment built on a formal structure, rules, and regulations. You do not enjoy the unpredictability of shifting priorities and deadlines that upset your routine. You require and enjoy direction, input and accountability as part of your work environment. You have a strong need to participate in making key decisions and feel left out if your superiors or co-workers do not seek your input when making decisions. You thrive on providing good customer service to both internal or external customers, and doing so makes you feel good.
Tags
Compliance, securities, investment advisor, FINRA, SEC, fraud
Information about Jefferson Pilot Securities
Company Rank: Not Available
Average length of employment : 1 year
Average salary of employees: $112,500
These are some of the questions we asked our climbers about their experiences with Jefferson Pilot Securities:
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Were your performance expectations clearly communicated? | 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 |