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Guardian Life · 5 hours ago

Compliance Analyst

Bethlehem, PA

Full-time

Hybrid

Mid Level

$67K/yr - $111K/yr

3+ years exp

Guardian Life is committed to building a best-in-class Law Department and is seeking a Compliance Analyst to join their collaborative Compliance Legal Team. The role involves ensuring compliance with various laws and regulations, assisting with compliance testing, preparing regulatory filings, and leading data analytic initiatives to improve compliance program effectiveness.

DentalFinancial ServicesHardwareInsuranceLife Insurance

Responsibilities

Advise and consult with various Compliance colleagues and internal business partners to ensure firm compliance with applicable laws, regulations, and compliance standards impacting Guardian's retail wealth management business, including its affiliated broker-dealer and investment adviser entities

Assist with the Firm’s Compliance testing program and the review and maintenance of related compliance policies and procedures

Assist in the preparation of required regulatory filings. Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas to perform high quality, value-added projects assessing the firm's overall regulatory compliance in various business functional areas

Assist the Compliance department's efforts in supporting the implementation of new retail wealth management products and services

Prepare relevant compliance metrics that help identify and improve Compliance operational efficiencies

Participate and help lead data analytic initiatives and thinking to improve the overall compliance program effectiveness and efficiencies

Qualification

FINRA regulationsSEC regulationsCompliance experienceData analyticsSeries 7 licenseSeries 24 licenseInterpersonal skillsOrganizational skillsWritten communicationVerbal communication

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, experience at an insurance-affiliated broker/dealer is a plus

Series 7; 24 licenses required or obtained within 120 days

A bachelor's degree

Strong data analytical, interpersonal, and organizational skills

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