Interested in finding more jobs in Concord, NH? Click Here to create a Climber profile today!
Jefferson Pilot Securities Work Values
Interested in finding out if you are the type of person this company is looking for? Create an account and take our patented DNA assessment now to see how you compare.
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:
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 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:
| 05| | ||
| Were your performance expectations clearly communicated? | 0.0 |
|
| Were you recognized for meeting or exceeding expectations? | 0.0 |
|
| Did you feel like your personal contribution was important? | 0.0 |
|
| Was your career path clearly outlined and discussed? | 0.0 |
| 03| | ||
| 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 |
