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Guardian Life · 4 months ago

Senior Compliance Analyst - Park Avenue Securities

United States

Full-time

Remote

Mid, Senior Level

$67K/yr - $111K/yr

3+ years exp

Guardian Life is committed to inspiring well-being for their colleagues and communities, and they are seeking a Senior Compliance Analyst to join their Compliance Legal Team. The role involves conducting branch office inspections using risk-based testing methodologies to ensure compliance with various regulations, while also developing and executing risk-based plans and communicating findings to stakeholders.

DentalFinancial ServicesHardwareInsuranceLife Insurance

Responsibilities

Conduct branch office inspections utilizing risk-based testing methodologies. This includes obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing

Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures

Use the results of your risk-based testing in conjunction with your expertise and judgment to assess the adequacy and effectiveness of the control environment in the branch office

Timely communicate preliminary findings to your manager and branch office management verbally and then in writing

Assist, as appropriate, with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans

Run multiple inspections simultaneously while timely delivering high-quality results

Stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program

Volunteer and otherwise assist on other department projects and initiatives

Qualification

FINRA complianceRisk-based testingBroker-dealer complianceSeries 7 licenseAnalytical skillsInterpersonal skillsOrganizational skillsCommunication skills

Required

Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance laws (inclusive of NAIC)

3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus

Prior examination, auditing or testing experience

Series 7; 24 licenses required or obtained within 120 days

A bachelor's degree

Strong interpersonal, organizational, and analytical skills

Excellent written and verbal communication skills with comfort making presentations in various settings

No restrictions on travel and extended periods away from home