Guardian Life · 6 hours ago
Compliance Analyst
Bethlehem, PA
Full-time
Hybrid
Mid Level
$67K/yr - $111K/yr
3+ years expGuardian Life is committed to building a best-in-class Law Department, and they are seeking a Compliance Analyst to join their collaborative Compliance Legal Team. The Compliance Analyst will work to ensure compliance with applicable laws and regulations, assist in compliance testing, and support the implementation of new wealth management products and services.
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
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
Benefits
Skill-building
Leadership development
Philanthropic opportunities
Supportive, flexible, and inclusive benefits and resources
Company
Guardian Life
Guardian Life Insurance Company of America (Guardian) is one of the country’s leading mutual insurers.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2016-08-23Non Equity Assistance
Leadership Team
Andrew McMahon
Chairman and CEO
Michael Prestileo
Chief Strategy Officer
Recent News
2025-12-11
Company data provided by crunchbase